Support for Ratification and the Implementation of the Nagoya

Protocol on Access and Benefit Sharing in ASEAN Countries

LAO PDR • MYANMAR • VIET NAM

Support for Ratification and the Implementation of

the Nagoya Protocol on Access and Benefit Sharing

in ASEAN Countries

Lao PDR • Myanmar • Viet Nam

Report on the Project Support for Ratification and the Implementation of the Nagoya Protocol on Access and Benefit Sharing in ASEAN Countries

June 2017

Editorial Board Roberto V. Oliva Clarissa C. Arida Sheila G. Vergara Genalyn A. Bagon-Soriano Vanessa V. Carriedo

Editors Patricia Marie C. Tanyag Dion Zarina D. Tuazon Anthony Charles Thomas M. Foronda Pamela Q. Reblora Layout Reigna Belle C. Aguja

Table of Contents

Project Final Report

Project General Information 1

Project Completion 2

Project Results 9

Annex 1 National Completion Reports 20

Lao PDR 21

Myanmar 42

Viet Nam 57

Annex 2 Lessons Learned 81

Project Final Report

Reporting Period30 January 2016 to 31 August 2016

Project General Information

Project Title: Support for Ratification and the Implementation

of the Nagoya Protocol on Access and Benefit

Sharing in ASEAN Countries

Executing Agency: ASEAN Centre for Biodiversity

Project partners: Biotechnology and Ecology Institute, Ministry of

Science and Technology (BEI-MOST) - Lao PDR;

Environmental Conservation Department, Ministry of

Environment Conservation and Forestry (ECD-

MOECAF) - Myanmar; Biodiversity Conservation

Agency, Vietnam Environment Administration,

Ministry of Natural Resources and Environment

(BCA-VEA-MONRE) - Viet Nam; China-ASEAN

Environmental Cooperation Center (CAEC);

United Nations Environment Programme - Regional

Office for Asia and the Pacific (UN Environment ROAP)

Geographical Scope: Association of Southeast Asian Nations

Participating Countries: China, Lao PDR, Myanmar, and Viet Nam

UN Environment Sub-Programme: Ecosystem Management

Overall objective: To provide technical support to countries to test

approaches for equity in ecosystem management and

addressing ABS, development and climate change

adaptation

Total budget: USD 184,380.00 (UN Environment-China)

Co-Financing: USD 12,500.00 (Lao PDR); USD 5,055.00 (Viet Nam)

Project actual start date: 5 April 2015

Project intended completion date: 30 June 2016

Project expected completion date: 31 January 2017

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Project Completion

Narrative of project accomplishment summary

The Small-Scale Funding Agreement (SSFA) between the United Nations Environment

Programme (UN Environment) Regional Office for Asia and the Pacific (ROAP) and the ASEAN

Centre for Biodiversity (ACB) was signed on 03 April 2015, with the first amendment signed on

31 August 2015, second amendment signed on 16 September 2015, and the third amendment

signed on 09 December 2016. The first amendment covered the inclusion for the development

of a Project Identification Form (PIF) for Access and Benefit Sharing (ABS) implementation in

Myanmar for Global Environment Facility (GEF)-6 support, the second amendment covered

the additional fund support to cover the mission of the consultant in developing the PIF for

Myanmar, while the third amendment covered the extension at no cost to provide sufficient

time for Myanmar to close its report and the consultant to finalize the PIF.

Summary of accomplishments are the drafting of national regulatory and institutional

frameworks, piloting of ABS measures, development of PIF for Myanmar, and conduct of a

project closing meeting.

Highlights of this project were the provision of legal guidance by the commissioned regional

expert to national experts (Myanmar and Viet Nam) and national project coordinator (Lao

PDR) in drafting the national regulatory and institutional frameworks for Lao PDR, Myanmar,

and Viet Nam during the First National Consultation-Workshops (Lao PDR and Viet Nam, both

held in September to October 2015; Myanmar, (held in May 2016) and the Second National

Consultation-Workshops (Lao PDR and Viet Nam, both held in January 2016; Myanmar, held in

August 2016) and writeshop (Lao PDR, held in January 2016). The countries’ frameworks were

drafted based on discussions with national stakeholders, gap analysis, and recommendations.

These frameworks are included in the project completion report of countries. Participants in the

consultation-workshops included sectors from the agriculture, education, health, environment,

non-governmental organizations (NGOs), and academe. A foreign private sector was able to

attend the consultation-workshops in Lao PDR and Viet Nam through invitation by the host

countries.

The national regulatory frameworks covered six key elements of the Nagoya Protocol (NP):

1. Access rules to genetic resources (GR) and traditional knowledge (TK) associated with

GR (PIC through licensing/ permit requirements; legal certainty, clarity and transparency;

fair and arbitrariness; clear rules for establishing mutually agreed terms (MAT) including

dispute settlement clause; terms on benefit sharing and intellectual property right (IPR),

third party use; and change of intent);

2. Fair and equitable sharing of benefits (presence of legal, administrative and policy

measures; monetary and non-monetary benefits; and benefit sharing with indigenous

peoples and local communities (IPLCs) through MAT);

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3. Monitoring/ tracking rules (checkpoints; communication tools and tracking purposes;

internationally-recognized certificate of compliance; and ABS Clearing-House (ABSCH);

4. Rules on Compliance (PIC and MAT in accordance with the legislation of other countries;

and measures on non-compliance);

5. Rules on TK associated with GRs (access rules; benefit sharing rules; compliance rules;

IPLC customary laws; and community protocols); and

6. Other considerations (measures on access for non-commercial research purposes;

cases of imminent emergencies that threaten or damage human animal or plant; GRs for

food and agriculture; transboundary cooperation; technology transfer; collaboration and

cooperation; and Convention on Biological Diversity (CBD) provisions).

Key elements of national institutional frameworks include the following: Institutional Components

for the National Focal Point, Competent National Authority, State Authorities and Divisional

Governments, Appeals Committee, and other Agencies; and Institutional Mechanism for

Coordination for Cabinet Committee on ABS, Parliamentary Liaison, Communities and other

stakeholders.

Lao PDR

First Consultation-Workshop

Key issue discussed during the First Consultation-Workshop in Lao PDR was the overall lack

of proper ABS regulations and legislation dealing with GR utilization across different sectors

and their integration to government policies and strategies at the national level. The need

to engage other sectors and to clearly define the responsibilities of involved ministries and

agencies, e.g., Ministry of Science and Technology (MOST) as lead agency supported by

the Ministry of Foreign Affairs (MOFA), the Ministry of Natural Resources and Environment

(MONRE) and the Ministry of Health (MOH) was brought up. Close collaboration between

MOST and MONRE is important given MONRE’s direct participation to the CBD and the

Project’s link to National Biodiversity Strategies and Action Plans (NBSAP). As such, “one

window port” was proposed as a system of coordination, monitoring and tracking system

among involved ministries and agencies. The stakeholders’ understanding of ABS was unclear

in general. The scope of ABS, such as GR or biological resources, and activities utilizing GR

under an ABS policy need to be communicated. Support is also needed on gathering baseline

data on GR and TK documentation, especially on traditional medicine and medicinal plants,

information and communication facility, and public awareness and information dissemination

on ABS in preparation for its legislation and framework drafting. Multi-sectoral consultation

involving business groups, scientific communities, and ethnic communities were regarded as

important. Recognizing the rights of IPLC and their participation in ABS were considered for

national policy.

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Second Consultation-Writeshop

The gap analysis of existing national laws related to ABS of Lao PDR presented during the

Second Consultation-Writeshop provided that minor clarifications and adjustments need

only be made to ensure that the ABS regulations of Lao PDR are aligned and consistent

with the NP. The existing permitting or licensing system may already be considered as the

PIC requirement, for formal inclusion of community protocols at the provincial level, and

clearance among involved ministries should a “one window port” be implemented. MOST was

proposed to expand its role as host of Biosafety CH to include ABSCH. The inclusion of benefit

sharing in national laws was stressed. The Institute of Traditional Medicine’s experiences on

implementing ABS may be regarded as access and fair and equitable benefit sharing rules

under the TK and associated with GRs. Existing checkpoints and reporting system may already

be used for monitoring and tracking and sharing of information, for inclusion of establishing an

internationally-recognized certificate of compliance. Other considerations made in the drafting

of the ABS Decree include: GRs that have no existing regulations, changes on intent when

establishing MAT, including third party violations or non-compliance, rules on compliance on

accessing GR with Prior Informed Consent (PIC) and MAT in accordance with the legislation

of other countries, addressing situations of non-compliance, and dispute settlements, cases of

viruses, pathogens, or imminent emergencies that threaten or damage human, animal or plant

to include Pandemic Influenza Preparedness Framework of the World Health Organization,

GRs for food and agriculture as signatory to the International Treaty on Plant Genetic Resources

for Food and Agriculture (ITPGRFA), as well as provisions on non-food/feed, chemical and

industrial use, transboundary cooperation, technology transfer collaboration and cooperation.

Myanmar

First Consultation-Workshop

Discussions during the First Consultation-Workshop in Myanmar maintained that ABS is not

mentioned in any of the national laws, thus a new decree was supported. TK as a matter of

common heritage, and monetary and non-monetary benefit sharing in terms of community

sharing were also discussed. Community participation and community rights over their TK

were considered important. Research programs with MAT were encouraged at the national

and regional levels. Existing permitting or licensing system may remain as is, for review

of benefit sharing provisions and internationally recognized certificate of compliance. A

review committee was proposed to serve as checkpoint on Intellectual Property application,

market product approval, and food and drugs certification. Clarifications were made on the

complementation of the CBD provisions with the provisions of World Intellectual Property

Organization. Awareness raising campaign, human resources and research development

activities on ABS were required. The purpose and importance of piloting ABS measure of the

project was also clarified for better understanding.

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Second Consultation-Workshop

It was assessed at the Second Consultation-Workshop that Myanmar has a clear vision of

prioritizing environmental conservation and protection based on its existing environmental

laws, however, fair and equitable sharing as an overarching principle has yet to be realized.

Monetary or non-monetary benefits in agreements and contracts were urged to be included

and negotiated. Collaboration of key stakeholders are needed to define fair and equitable for

Myanmar. The permit system of institutional bodies, e.g., National Land Use Advisory Body,

Wildlife Conservation Committee, and their terms and conditions for giving permits are of

essence contain ABS. Clarifications were made on the complementarities of NP and ITPGRFA

on resources covered under the Standard Material Transfer Agreement (SMTA), however those

dealing with chemical, pharmaceutical, and non-food feed industrial uses will revert to the NP

permit systems. Issues on TK were stressed, through domestic law as appropriate, or at the

international level through the NP. IPLCs and the State should sit down on the recognizing

IPLC rights. It was considered that customary laws and practices need to be integrated with

the national laws through proper consultation, and participation.

Viet Nam

First Consultation-Workshop

The key issues discussed during the First Consultation-Workshop on ABS in Viet Nam were

based on the assessment of the Biodiversity Law and other national regulations related to

ABS. The integration of scope and access rules of GR in the Biodiversity Law with community

protocols and customary laws of IPLCs were discussed, as well as the streamlining of license

issuance. There were clarifications on overlapping functions of involved authorities, e.g.,

MONRE and Ministry of Agriculture and Rural Development (MARD); and the Copyrights

Office under the Ministry of Culture, Sports and Tourism, and MOST as competent agencies

of the Biodiversity Law with regard to TK copyrights. Proper incorporation of TK in the legal

system, with the guidance of MOST on the implementation of TK copyright was considered.

Institutional arrangements that need to be settled include pursuing a single agency authority

on ABS or a multi-agency authority, and defining of roles of the local government units and the

Provincial Peoples’ Committee. Quantifying fair and equitable benefit sharing and other related

provisions involving IPLCs also needed to be resolved. The Intellectual Property Office was

proposed to serve as checkpoint authority.

To address the identified institutional and regulatory framework gaps, Viet Nam proposed

an ABS Roadmap 2020 that included action steps to be taken, as follows: a) develop a legal

framework on ABS to be accomplished by 2017; b) develop capacity for ABS management by

identifying a national agency on ABS; c) establish clear permit system, implementing PIC and

MAT; d) promote researches on ABS and TK to be accomplished by 2018; e) develop a policy

on ABS by participating on project strengthening ABS management and TK to be accomplished

by 2015; f) develop a national database on GR and TK integrated into the national biodiversity

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database, and a national ABSCH linked to the international ABSCH to be accomplished by

2020; g) awareness raising campaigns, trainings and workshop to be accomplished by 2020;

and h) pilot an ABS policy measure to be accomplished by 2018. With MONRE as the identified

agency to take the lead, proposed activities to implement ABS were: gathering of information

from government agencies, research institutions international cooperation relating to GR for

inputs on priority areas on ABS; consultations with experts on developing legal framework on

ABS; collaboration with ministries, local authorities and communities in the management and

research of GR; and collaboration with international organizations on their initiatives on ABS.

Second Consultation-Workshop

Issues raised during the Second Consultation-Workshop in Viet Nam were based on the

revised assessment of the legal and institutional frameworks incorporating the comments and

recommendations in the First Consultation-Workshop. Discussions focused on arrangements

on sharing of benefits with IPLCs as well as with holders of TK without copyright registration. Viet

Nam has no specific laws on TK, and TK copyright has issues on expiration. The Biodiversity

Law does not provide any procedures for accessing TK associated with GRs, and the question

is whether it is time to take into account customary laws and community protocols and TK of

the IPLCs. The feasibility and effectiveness of calculating benefit sharing was agreed to be

based on mutual negotiation with the user, and monetary and non-monetary benefits sharing

need to be weighed given that returns take a long time to materialize. Viet Nam need to

decide whether the Plant Variety Protection certificate, as an IPR instrument, should also

follow ABS regulations. Clarifications should be made whether the issuance of ABS license

replaces other relevant licenses, to simplify and to fast track processes especially for non-

commercial researches. Measures on addressing non-compliance especially on dispensing

sanctions outside of Viet Nam was also taken up.

Piloting of ABS measures were done in Lao PDR (enhanced Material Transfer Agreement

by the Biotechnology and Ecology Institute, MOST), Myanmar (enhanced Memorandum of

Agreement (MOA) by the Biotechnology Research Department, Ministry of Education), and

Viet Nam (suggested enhancements in the Memorandum of Understanding (MOU) by the

Biodiversity Conservation Agency) as indicated in countries’ completion reports. Finally, a

GEF PIF on ABS implementation in Myanmar was developed.

Lao PDR

Biotechnology and Ecology Institute and James Hutton Institute, Scotland Material Transfer

Agreement (MTA), “Building mycological capacity for sustainable resource management in

Lao PDR”, on transferring plants, animals, and microorganisms found in Lao PDR. The MTA

included a certification of origin and list of specimens. Its basic agreements include a yearly

evaluation to update and to monitor MTA applications, and that the specimens transferred

were for academic and scientific research purposes only will not be subject to any third party

without prior execution of new MTA with Biotechnology and Ecology Institute (BEI). In addition,

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no expressed or implied licenses or other rights under any patents, patent applications, trade

secrets or other proprietary rights including altered forms of the specimens will be provided,

and no expressed or implied licenses or other rights are provided to use the specimens for

commercial purposes. This piloting provided the necessary experience for Lao PDR on how to

align instruments to the provisions of the Nagoya Protocol. Furthermore, this piloting will be a

precursor for Lao PDR to build their confidence in negotiating for MAT.

Myanmar

Biotechnology Research Department (BRD), Ministry of Education, and the Yunnan Academy

of Agricultural Sciences of China MOU on biotechnological research collaboration. The

exchangeable materials may include agricultural resources, plant pathogens and microbial

resources. An MOU previously used for science and engineering collaborations was enhanced

and used on specific cases of cooperation or collaboration. Agreements on the MOU include

ABS arrangements, provisions on equitable biological material exchanges including research

result information exchange, third party participation, and intent of use as for research purposes

only. The MOU also included clauses on insurance, biosafety and biosecurity, TK associated

with GR, and publications and acknowledgement. The piloting of the MOU provided BRD the

experience to enhance the instrument aligned to NP and also an opportunity to gain confidence

in negotiating MAT.

Viet Nam

There were five cases of ongoing collaborations wherein Biodiversity Conservation Agency

(BCA) provided interventions to pilot their ABS measures, as follows:

a) Hanoi National University of Education and a Japanese Institute on scientific research

on taxonomy, life history and population genetics of gobies in Viet Nam. The agreements

included collection of samples in both institutions for further research and museum

display, provision of funds and equipment to implement the research, and trainings

relevant to the research in Viet Nam and in Japan. BCA provided guidance in terms

of providing more details on the MOU, especially on publication of research results,

intellectual property rights, provisions in cases of third party research, application

of the collected GR, including storage and conservation of GR. In case of potential

commercialization, requirements for information sharing and periodic reporting to

MONRE must be followed.

b) Viet Nam Agricultural University and Plant Varieties Corporate of the Netherlands on

the collection and research of wild and native plant varieties, especially for antibodies

against epidemics. BCA provided guidance in terms of requesting specifications on

the access of GRs of the cooperation, and to follow existing regulations on collecting

GRs in national parks and nature reserves, and the Biodiversity Law. Guidance

were also provided regarding publication of research results, applications, storage

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and conservation of collected GR. Remarks were given regarding arrangements

on benefit sharing, IPR, information sharing, and periodic reporting of the research

results.

c) A Vietnamese and a French private pharmaceutical company on biochemical

experiments on plants for pharmaceutical, pesticide, and cosmetic purposes. The

agreements of the collaboration included arrangements on specimen transfer from

Viet Nam to France, sharing of benefits to native local communities through monetary

and non-monetary benefits, IPR and technology transfer. BCA provided guidance in

terms of access rules for commercial purposes in accordance to the NP and existing

ABS-related regulations of Viet Nam.

d) National Research Institute of South Korea and Vietnam Environment Administration

MOU on survey and research activities, information exchange through learning

missions and conferences/ workshops on conservation, sustainable use of biodiversity

and ABS.

e) Assessment on the MAT of Sapa Native Products Trading Joint Stock Company

(Sapa Napro Co., Ltd.) Company, a local joint stock company engaged with the Dao

and Hmong ethnic farmers on producing traditional medicinal bath products. BCA

conducted consultations with the company including its stakeholders, and provided

guidance in terms of assistance in following the access rules of the Biodiversity Law

by the ethnic groups to conserve and sustainably use the resources as an equivalent

responsibility. Another remark was on the benefit sharing arrangements should be

placed into formal contracts. There is also a need to register the IPR of the products.

A project closing meeting was held on 17-18 October 2016, in Hanoi, Viet Nam. The Meeting

discussed in detail the project accomplishments, potential future activities for implementation,

and preparation for a side event in Cancun. The Meeting was conducted at the Fortuna

Hotel in Hanoi, Viet Nam. Fifteen participants from national and regional project participating

organizations, including the Chinese Research Academy for Environmental Sciences, attended

the meeting. Additionally, 20 individuals from Viet Nam attended the presentation of the draft

Viet Nam Decree on 17 October 2016. A site visit was made by ACB on 19 October 2016 in

Sa Pa, Lao Cai province, Viet Nam. The visit highlighted the benefit sharing scheme of Sapa

Napro Co., Ltd. and potential technical assistance of National Park office on the propagation

of essential genetic resource for a product manufactured by Sapa Napro Co., Ltd..

The following are the main points and ideas for future areas for collaboration discussed at the

Meeting:

a) The technical assistance provided by National ABS Experts and the Regional

ABS Expert and their collaboration in reviewing the countries’ ABS-related laws,

regulatory and institutional ABS frameworks and ABS Decrees, and in contributing

to finalizing their pilot ABS measures were invaluable and essential in the success of

the implementation of the project in the countries;

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b) The importance of certainty, clarity and transparency of ABS implementation were

emphasized especially on the rules of access to GR, TK associated with GR, fair and

equitable sharing of benefits, monitoring and tracking, compliance rules, and other

considerations;

c) ABS implementation at the national level need not reinvent new policies, but refine

them in accordance to NP. Existing regulations need only be articulated as the

requirements of NP, especially on access rules. It is the benefit sharing arrangement

that is needed to be enhanced;

d) Dealing with TK depends on each country, and the CBD and NP leave matters on TK

and IPLC to national legislation;

e) NP-ABS provisions were made to be mutually supportive of the implementation of

the ITPGRFA;

f) The role and composition of the ABS Committee were of interest among the countries;

g) The importance of collaboration with all stakeholders and delegation of powers

were stressed in implementing ABS. It is best to be facilitative and learn from actual

experiences;

h) There is a need to improve on how the piloting of ABS measures were presented;

i) Some of the next stages of the ABS framework implementation are tracking matters

related to utilization, IPR, and technology transfer; and

j) Each country presented a proposed 4-year roadmap on implementing ABS, which

included the adoption of ABS Decree, awareness-raising activities and capacity

development, among others. The action steps in the roadmap may be utilized as

guide for future initiatives related to ABS.

Project expenditures totalled to USD 183,281.90 as of 31 January 2017 as reflected in the

Financial Report.

Project Results

Information on the delivery of the project

1. Agreement with selected ASEAN Member States (AMS) on national work plan

Strengthened the collaboration among UN Environment, CAEC, ACB and project participating countries: Lao PDR, Myanmar and Viet Nam; Successfully implemented work plans within project duration and delivered outputs (Lao PDR – June 2016; Myanmar – August 2016; Viet Nam – June 2016).

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Outputs/Activities Results/Outcomes2. Analysis report on selected

ABS regulatory and institutional frameworks in selected AMS

Served as basis for project participating countries’ enhancement of draft frameworks (Lao PDR: Frameworks assessment and Gap analysis; Myanmar: Gap analysis; Viet Nam: Frameworks assessment and Gap analysis).

Lao PDR

Existing ABS-related laws in Lao PDR were reviewed, consultation-workshops with key stakeholders and a small group consultation-writeshop were conducted to gather comments and recommendations in order to come up with the ABS frameworks assessment and gap analysis. Below details the key findings:

Access rules to GR and TK associated with GRThere is a need to explicitly mention that the licensing requirements for access to GRs are the PIC requirement of NP. The access rules of involved agencies must be consolidated. ABS regulations on the application, procedure, and criteria for obtaining PIC must be put in place. There are clear rules for establishing MAT regarding dispute settlement, terms on benefit sharing and intellectual property rights, third party use, and change of intent.

Fair and equitable sharing of benefitsCharacteristics of fair and equitable sharing of benefits need to be identified, especially details on monetary and non-monetary benefits with IPLCs through MAT.

Monitoring and tracking rulesCheckpoints in existing regulations need to be clarified, including reporting requirements, and effective communication tools and systems for tracking purposes. The licensing and access permits should be clarified as the internationally-recognized certificate of compliance.

Rules on compliance Measures on GRs utilized in Lao PDR have been accessed with PIC and MAT in accordance with the legislation of other countries, as well as measures on non-compliance, and obligation to cooperate. Provisions on dispute settlement and ADR, opportunity to seek recourse in the legal system, and measures on access to justice and mechanisms for mutual recognition and enforcement of foreign judgments and arbitral awards.

Rules on TK associated with GRsAccess fair and equitable sharing of benefits, and compliance rules on TK associated GRs need to be cleared out. Provisions on taking into account IPLC customary laws, community protocols, and minimum requirements of MAT need to be included.

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Outputs/Activities Results/OutcomesOther considerationsSpecifications on simplified measures on access for non-commercial research purposes need to be further developed. Clarifications on cases of imminent emergencies that threaten or damage human, animal, or plant are needed. Further details on GRs for food and agriculture need to be included. Ways on carrying out transboundary cooperation, such as ASEAN member states, need to be included and elaborated. Recommendations on how technology transfer, collaboration and cooperation may be accelerated or up-scaled need to be included.

With regard to CBD provisions, there was no mention on specific policy guidance on how to deal with the rights of IPLCs on TK associated GRs. National legislation recognizing the sovereign rights of states over their natural resources also need to be clarified as there are conflicts on legal mandates. Access to and transfer of technology and distribution of benefits from biotechnology need also be included.

Myanmar

Existing environmental laws were reviewed and consultation-workshops were conducted to come up with a draft institutional and policy frameworks assessment. Below are few of the key findings in the assessment:

Myanmar has clear vision of prioritizing environmental conservation and protection based on its existing environmental laws, but there needs to be clarity on sharing of benefits. Key stakeholders need to collaborate and define what is fair and equitable for Myanmar. The existing permitting or licensing system of institutional bodies, e.g. National Land Use Advisory Body, Wildlife Conservation Committee may remain as is, but there is a need to review them whether they contain provisions on benefit sharing. Traditional knowledge, as a matter of common heritage, needs to be more clarified, and community participation was highly regarded as important in dealing with their TK, recognizing their rights over their TK. IPLCs and the State should sit down on the recognition of their rights, and customary laws and practices by IPLCs need to be integrated with the national laws through proper consultation, and community participation. A creation of a review committee was also proposed which will serve as checkpoint. There needs to be a common understanding on NP-ABS and its complementation with ITPGRFA.

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Outputs/Activities Results/OutcomesViet Nam

Existing ABS-related laws, especially the Biodiversity Law, were analyzed whether they were aligned with the NP, CBD, United Nations Declaration on the Rights of Indigenous Peoples (UNDRIP) provisions including the Aichi Targets. Consultation-workshops were also conducted to get the comments and recommendations from the key stakeholders. These were consolidated and incorporated to come up with the frameworks assessment and gaps analysis. Below are few of the key findings in the analysis:

Access rules to GR and TK associated with GRLicensing requirement must be explicitly mentioned as the PIC requirement of the NP, arising from the public ownership of GRs, and is the same for the ABS requirement in other ABS regulations. Access rules from various national laws and mandates of agencies must be consolidated into a one accessible format. Rules on changes on intent must be clarified.

Fair and equitable sharing of benefitsThe principle of fair and equitable sharing of benefits needs to be clarified and included in the ABS-related laws, and the provisions for benefit sharing prior to the NP need to be included and put forward a claim before the Global Multilateral Benefit Sharing Mechanism.

Monitoring and tracking rulesCheckpoints need to be designated, including the Intellectual Property Office and the agency dealing with export of GRs. Include reporting requirements and communication tools and systems for tracking purposes. Clarify is existing access permits are the established internationally-recognized certificate of compliance linked to the ABS CH

Rules on compliance It should be clarified if there is provision on GRs utilized in Viet Nam have access to PIC and MAT in accordance with the legislation of other countries. Measures on non-compliance need to be in place. There is a need to have provisions on dispute settlements, measures on access to justice and mechanisms for mutual recognition and enforcement of foreign judgment and arbitral awards.

Rules on TK associated with GRsA policy decision need to be made on the access rules, fair and equitable sharing of benefits, and compliance rules on TK associated GRs, taking into account IPLC customary laws, and community protocols and procedures.

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Outputs/Activities Results/OutcomesOther considerationsA policy decision needs to be made on simplified measures on access for non-commercial research purposes. Provisions should take into consideration cases of imminent emergencies that threaten or damage, human, animal, or plant, GRs for food and agriculture, transboundary cooperation, technology trans-fer, collaboration and cooperation.

Convention on Biological Diversity provisions on a national leg-islation recognizing the rights of IPLCs on TK wherein the TK copyright as a legal instrument promoting the wider application of TK. Make clear on the national legislation on the sovereign rights of states over their natural resources, on the access to and transfer of technology, distribution of benefits from biotech-nology

The details of the access regulations show compliance with the legal certainty, clarity and transparency requirement of the Nagoya Protocol. It was noted that Viet Nam’s access rules are based on its Biodiversity Law and other ABS legal regulations. The National Expert’s report made a good suggestion to clarify what is access and what is utilization but there are varying mandates of other ministries/agencies. It was suggested that the various ABS rules be put together in one accessible and cross-referenced format; another way suggested this can be done is by clarifying the mandates of the various agencies (MONRE, MARD, MOST and PPC) on ABS.

3. National consultation-workshop report from each selected AMS

Provided relevant information about NP-ABS to stakeholders in Lao PDR, Myanmar and Viet Nam who may assist in the finalization of the frameworks on ABS in their countries; capacitated participants in understanding about ABS (Lao PDR: 4 meetings; Myanmar: 2 meetings; Viet Nam: 2 meetings).

Lao PDR

The First Consultation-Workshop on Implementing NP on ABS on 30 September-1 October 2015 in Vientiane, Lao PDR brought together 35 participants from government line minis-tries, including the MONRE, Ministry of Agriculture and For-estry, Ministry of Public Health, Ministry of Industry and Com-merce, and the MOST. Also present were from the faculties of the National University of Laos and the Forestry Research Center. A representative from the Secretariat of the CBD, Food and Agriculture Organization, and Nimura Genetic Solutions Co. Ltd. were especially invited to speak at the Consultation Workshop. Lao PDR presented a summary of constraints on implementing ABS policy. The ABS Regional Expert provided a general assessment for Lao PDR.

The Consultation-Workshop on Implementing NP on ABS on 18-21 January 2016 in Vientiane, Lao PDR was participated by 13 representatives from the Biotechnology Ecology Insti-tute-Ministry of Science and Technology, Department of Live-stock and Fisheries-Ministry of Agriculture and Forestry,

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Outputs/Activities Results/Outcomesand Faculty of Science-National University of Laos, Institute of Traditional Medicine-Ministry of Health, including a forestry sector consultant, with the supervision of the ACB. Lao PDR, together with the Regional ABS Expert, reviewed the gaps on its current ABS administrative framework and existing policies related to ABS. The Regional ABS Expert drafted a decree on ABS based on their gap analysis and policy review discus-sions. Lao PDR outlined their roadmap for ABS regulation for the next four years, 2016-2020.

Myanmar

The First Consultation-Workshop on Implementing the NP on ABS in Myanmar held in 24-25 May 2016 in Nay Pyi Taw, Myanmar was attended by 40 participants representing the ministries, government agencies and NGOs. Delegates from the Education, Health, Agriculture, Livestock and Irrigation, Natural Resources and Environmental Conservation offices were there, including the Attorney General and Intellectual Property offices. Non-government offices in attendance includ-ed the Wildlife Conservation Society, Biodiversity and Nature Conservation Association, Myanmar Environment Institute, and Myanmar Environment Rehabilitation-conservation Network. A representative from the Traditional Herbal Companies, a private sector, was also invited. Co-organizing the Consultation-Work-shop were the ACB and UN Environment-ROAP. UN Environ-ment made a presentation about the UN Environment-China Trust Fund project on ABS. ACB presented on behalf of the Secretariat of the Convention on Biological Diversity (SCBD) about the international development on implementing NP-ABS including key features about the NP-ABS. The national ABS Expert presented a Draft ABS Institutional and Policy Framework for Myanmar based on the case presentations and discussions with the stakeholders. A roadmap on imple-menting ABS in Myanmar was developed during a workshop. Possible institutions to be involved in the piloting of the ABS measure have been identified but subject to a joint approval of ECD-MONREC and Biotechnology Research Department of the Ministry of Education.

The Second Consultation-Workshop on Implementing Nagoya Protocol on ABS in Myanmar on 9-10 August 2016 in Nay Pyi Taw, Myanmar gathered 70 delegates from various govern-ment offices, research institutions and universities, NGOs and international organizations, including UN Environment Con-sultant working on the GEF-6 PIF proposal. Existing environ-mental legislations and their relation to ABS were presented by the National ABS Expert, to which the Regional ABS Expert built on together with the comments from and discussions with the participants and presented a Revised ABS Institu-tional and Policy Framework. The Biotechnology Research Department-Ministry of Education (BRD-MOE) also shared their accomplishments on the implementation of piloting ABS measures especially on the process of developing their MOU template.

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Outputs/Activities Results/OutcomesViet Nam

The First Consultation-Workshop on Assessment of Legal Framework and Institutional Setting on Genetic Resources Management and Gap Analysis for Implementing NP on ABS on 28 September 2015 in Hanoi, Viet Nam was attended by 50 delegates representing the ministries of agriculture and rural development, health, industry and trade, science and tech-nology, natural resources and environment and other related government agencies joined the Biodiversity Conservation Agency, Vietnam Environment Administration together with ACB and UN Environment-ROAP, with special invitation to the SCBD. Viet Nam presented a comprehensive review of their policies related to ABS. The Regional ABS Expert provided an assessment on the review of Viet Nam’s policies based on the requirements of NP-ABS, CBD, and the UNDRIP. Viet Nam identified way forward on piloting ABS measures including their Second Consultation-Workshop.

The Second Consultation Workshop on Assessment of Legal Framework and Institutional Setting on Genetic Resources Management and Gaps Analysis for Implementing NP on ABS on 15 January 2016, in Hanoi, Viet Nam gathered 56 partic-ipants from ministries, research institutes, universities, and business sector in the country, including Sapa Native Products Trading Joint Stock Company (Sapa Napro Co., Ltd.), and a special invitation was given to Nimura Genetic Solutions Co., Ltd. (NGS). The National ABS Expert presented a re-assessment of the legal framework, institutional setting, and gap analysis on ABS in Viet Nam. The Regional ABS Expert provided a feedback on the review of Viet Nam’s policies based on the requirements of NP-ABS, CBD, as well as further rec-ommendations from previous assessment report. There were also presentations on international and local experiences on implementing ABS in Japan, India and Viet Nam.

4. New or enhanced ABS regulatory and institutional frameworks from selected AMS

Served as basis for government discussion, enhancement, consideration, and/or approval; Capacitated participants in facilitating the operationalization of Nagoya Protocol on ABS in their country.

The national regulatory framework covered six key elements of the NP:

1. Access rules to GR and TK associated with GR (PIC through licensing/ permit requirements, legal certainty, clarity and transparency, fair and arbitrary, clear rules for establishing MAT including dispute settlement clause, terms on benefit sharing and IPR, 3rd party use, and changes of intent);

2. Fair and equitable sharing of benefits (presence of legal, administrative and policy measures, monetary and non-monetary benefits, benefit sharing with IPLCs through MAT);

15

Outputs/Activities Results/Outcomes3. Monitoring/Tracking rules (checkpoints, communication

tools and tracking purposes, internationally-recognized certificate of compliance, ABSCH);4. Rules on Compliance (PIC and MAT in accordance with the legislation of other countries, measures on non-compliance);

5. Rules on TK associated with GRs (access rules, benefit sharing rules, compliance rules, IPLC customary laws, community protocols); and

6. Other considerations (measures on access for non-commercial research purposes, cases of imminent emergencies that threaten or damage human animal or plant, GRs for food and agriculture, transboundary cooperation, technology transfer, collaboration and cooperation, CBD provisions).

The key elements of the national institutional frameworks include the following: Institutional Components for the National Focal Point, Competent National Authority, State Authorities and Divisional Governments, Appeals Committee, and other Agencies; and Institutional Mechanism for Coordination for Cabinet Committee on ABS, Parliamentary Liaison, Communities and other stakeholders.

The frameworks will be set as basis for further improvement or discussion with appropriate key stakeholders for the finalization and adoption as a legislative, administrative or policy measure.

5. Report on piloting of administrative or policy measures to implement community protocols, bioprospecting, and/or biotechnology research as identified priority by selected AMS

Provided documentation of practical enhancement or application of ABS instruments (Lao PDR – Enhanced Material Transfer Agreement; Myanmar – Enhanced Memorandum of Understanding between BRD and Chinese academy; Viet Nam – conceptualization of agreement between Sapa Napro Co., Ltd. and local community, enhancement of MOU between Hanoi National University of Education and a Japanese Institute, enhancement of MOU between Vietnam Academy of Agriculture and Netherland company, and development of agreement between VEA and NIBR-Korea).

These enhancements were the inclusion of relevant key elements of the NP into the documents such as matters relating to PIC, MAT, TK, and compliance.

6. PIF for the implementation of the Nagoya Protocol on ABS for submission to the GEF Secretariat

Met with selected stakeholders in Myanmar and discussed potential areas for implementation of ABS activities.

7. Project coordination and technical support

Provided project management support to countries to deliver work plan within scope, cost and schedule. Furthermore, disseminated project related activities at the ACB website:

https://aseanbiodiversity.org/key_programme/building-capacity-of-countries-in-support-of-the-development-and-implementation-of-national-abs-frameworks/

16

List of Lessons Learned and Good (Best) Practices

1.1.1. Institutional Arrangements, including Project Governance

1.1.1.1. A regional inception workshop for the country project coordinators could help

in collectively discussing and understanding of the project scope, schedule,

budget, risk, resources, and quality.

1.1.1.2. As a matter of ASEAN protocol, there is a need to put in place Project

Steering Committee with members from the AMS and representatives of

China Trust Fund/CAEC and UN Environment-ROAP. The normal practice

is to have a project steering committee to provide high-level guidance and

support to implement the project. With the given budget and project duration,

the project steering function was done by the Executive Committee of ACB

with close coordination with UN Environment-ROAP Programme Officer. It

would be ideal to include members of the ASEAN Working Group on Nature

Conservation and Biodiversity (AWGNCB).

1.1.2. Engagement of the Private Sector

1.1.2.1. Involving key stakeholders, such as the private sector, is very much needed.

This sector’s participation was encouraged during national workshops.

1.1.2.2. The collaboration with private sector during the workshop could help facilitate

in mainstreaming ABS in the business sector.

1.1.3. Capacity Building

1.1.3.1. The project provided an opportunity to develop the capacity of participating

countries’ key stakeholders by having them implement activities in their

countries with guidance from ABS negotiator from the region and participation

of regional and international agency representatives.

1.1.3.2. Design of capacity building activities could be developed by executing

agencies and approved by the Project Steering Committee. This would provide

official endorsement of the project design for capacity building activities.

Nevertheless, the project’s benefits for the countries were concurred by the

agencies through the Work Plan.

1.1.3.3. The progress made by this project in selected countries and ACB could be

sustained with another phase of project on ABS with regional scope.

1.1.4. Factors that Improve Likelihood of Outcome Sustainability

1.1.4.1. Policy development relevant to the implementation of the theme would be

beneficial and contributory to the sustainability of the outcome. Specific

to this project, the indication in official documents (NBSAP and National

Report) on the theme or concern with progressive activities is likely to provide

sustained activities and support in the country. Moreover, with the accession

of the project’s participating countries to the Nagoya Protocol on ABS, this

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inevitably requires them as Parties to put in place legislative, administrative

or policy measures and to implement and enforce these measures.

1.1.4.2. With the result from this project, it is expected that project participating

countries would be able to further improve on the frameworks for adoption of

legislative, administrative or policy measures.

1.1.5. Financial Management and Co-financing

1.1.5.1. General flexibility on budget reallocation was well appreciated, including

those of timely releases of funds and guidance from UN Environment-ROAP.

1.1.5.2. Country reports of co-financing (in-kind financing) should be included to

show the investments of partners to the project.

1.1.5.3. A conventional method of transferring project funds from the Philippines to

Myanmar was done due bank policy restriction. This was addressed by jointly

discussing between ACB and MONREC on how to transfer funds. It was

agreed that the funds would be deposited to the bank account of MERN-

Myanmar, an NGO, and MERN will facilitate transfer to the bank account of

Environment Conservation Department.. It has only recently that bank policy

restriction on fund transfer from Philippines to Myanmar has been lifted. As

such, future project fund transfer could be done through electronic means

from the Philippines to Myanmar.

1.1.6. Partnership

1.1.6.1. The project has been made a success due to the financial and technical

support of the donor, China Trust Fund, and partners, SCBD, UN Environment,

MOST-Lao PDR, ECD-MONREC-Myanmar, and BCA-VEA-MONRE-Viet

Nam.

1.1.6.2. Future endeavor in these countries will involve these existing network of

supporters and to expand to other complementing organizations to further

improve the capacity of stakeholders in implementing ABS.

List of attached documents (Annexes)

1. National Completion Reports

1.1. Lao PDR

1.2. Myanmar

1.3. Viet Nam

2. Lessons Learned

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ABS Project Closing Meeting held in Hanoi, Viet Nam in 17-18 October 2016

ACB’s visit to the office of Sapa Napro Co., Ltd. in Sa Pa, Viet Nam.

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Annex 1National Completion Reports

Building Capacity of Countries in Support of the Development and Implementation of National ABS Frameworks: Lao PDRMs. Kongchay Phimmakong,ABS National Project Coordinator

Vientiane, Lao PDR

March 2016

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Project Title

The project title is “Building Capacity of Countries in Support of the Development and

Implementation of National ABS Frameworks: Lao PDR”.

Start and Completion Dates

The Lao Government signed the Access and Benefit Sharing (ABS) Work Plan with the

ASEAN Centre for Biodiversity (ACB) in June 2015 under the regional project for Implementing

Convention on Biological Diversity (CBD) Provisions on Access to Genetic Resources and

Sharing Benefits. The main objective of the work plan was to provide technical support to Lao

PDR in developing and implementing appropriate ABS frameworks. Under this project, several

activities were carried out including consultation-workshops, national data inputs, providing

technical support, undertaking of pilot administrative measures and regional cooperation

promotion. The project was completed on 31 March 2016.

Reporting Period

A set of substantive progress and expenditure reports were submitted by Biotechnology and

Ecology Institute (BEI) to ASEAN Centre for Biodiversity (ACB) before the release of the

second fund according to the signed agreement. This is the final technical report for the project

duration between June 2015 and March 2016.

National Implementing Agencies

This project was undertaken by Biotechnology and Ecology Service Center, BEI, Ministry of

Science and Technology which is monitored by the Nagoya Protocol National Focal Point.

Supporting Agencies

This project is financially supported by the China Trust Fund, with the involvement and support

of international and national agencies. Those international supporters are ACB, United Nations

Environment Programme-Regional Office for Asia and the Pacific (UN Environment-ROAP),

Secretariat of the Convention on Biological Diversity (SCBD), Agro-Biodiversity Project (ABP-

Global Environment Facility-Ministry of Agriculture and Forestry-United Nations Development

Programme-Food and Agriculture Organization) and Nimura Genetic Solutions Co., Ltd. There

were many national agencies that were included in the project activities such as BEI, Ministry

of Science and Technology, Institute of Traditional Medicine, Ministry of Health, Department of

livestock and Fisheries, Department of Agriculture, Ministry of Agriculture and Forestry, Import

and Export Department, Ministry of Industry and Commerce, Ministry of Natural Resources

and Environment, and the Faculties of Forestry, Agriculture and Science of the National

University of Laos.

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Executive Summary

The Ministry of Science and Technology of Lao PDR and BEI have signed the work plan with

ACB in June 2015 under the regional project of Building Capacity of Countries in Support of

the Development and Implementation of National ABS Frameworks: Lao PDR. The project

duration was between June 2015 and March 2016. The total amount of the project is USD

22,400 which was supported by the ACB-UN Environment China. The project aimed to provide

technical support for developing regulatory and institutional ABS frameworks.

Consultation meetings were conducted with the involvement of concerned government

agencies, representatives from ACB, UN Environment, and a regional expert. Discussions

were held with the staff of BEI in Vientiane Capital. The activities focused on the review of

the status of ABS regulatory and institutional frameworks, providing technical support, and

the priorities of piloting administrative measures. The stakeholder consultations on the ABS

regulatory and institutional frameworks was also used as forum for sharing experiences and

analyzing issues on biodiversity activities which is related to ABS. An assessment report and

an analysis of ABS regulatory and institutional frameworks were done in order to support

the national ABS framework implementation (see Annexes B and D1). Moreover, reports on

discussion of piloting administrative measures were also used as an output of the project

implementation (see Annex E). All outputs and recommendations from local stakeholders

and the regional expert will be used for enhancing Lao PDR’s ABS regulatory and intuitional

frameworks, especially the ABS regulation.

Objectives

The main objectives of the project are the following:

• Provide technical support for developing ABS regulatory and institutional frameworks;

• Undertake piloting of administrative or policy measures to implement community protocols,

bioprospecting, and/or biotechnology research, depending on priorities identified in the

country; and

• Support the organization and contribute technically to promote regional cooperation,

knowledge sharing, and learning on ABS within ASEAN Member States (AMS) and

China.

Discussions and Accomplishments

In attaining the above objectives, internal meetings at BEI and stakeholder consultations were

conducted to gather data, discuss on the ABS regulatory and institutional frameworks, and

identify priority areas of administrative measures. The stakeholder consultations on the ABS

regulatory and institutional frameworks have been used as a forum for sharing experiences,

collecting data and analyzing issues on biodiversity or genetic resource activities in the

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country. Moreover, related policies, regulations, case studies, project activities, and relevant

documents have also been highlighted and discussed in the workshops. Only two national

workshops have been planned at the earlier project designed; inputs from key stakeholders,

from the Nagoya Protocol National Focal Point and from the Regional Expert however is a

reason to extend the meetings in order to meet the project expectations. Several consultation

meetings were conducted to assess the status of regulatory and institutional management and

to identify priority areas of piloting administrative measures (see Annexes C1-5). A concrete

example is the writeshop held on 18-21 January 2016 (see Annex C6) that is a result of

the discussion between ACB, the regional expert, the stakeholders and BEI, based on the

assessment of existing regulatory and institutional frameworks on ABS.

Gap analysis of the frameworks were done by the regional expert with inputs from

representatives from Department of Livestock and Fisheries, Traditional Medicine Research

Centre, the National University, and BEI is an outstanding output from the writeshop and the

project. This significant analysis serves as an enhancement of the country regulatory and

institutional frameworks which includes several ABS components such as access and fair and

equitable rules, monitoring and tracking, rules on compliance, rules on traditional knowledge

associated with genetic resources and other considerations under the CBD provision (see

Annex D1). The most important is that the assessment report from the consultations and

gap analysis are used to serve as key project outputs to enhance regulatory and institutional

frameworks. These achievements are great sources for Lao PDR to develop the draft ABS

decree and its institutional arrangement. Even though this ACB-UN Environment China project

is completed, a development of the draft ABS decree and its administrative instruments to

implement the regulation should be carried on with inputs from concerned stakeholders.

Additionally, priority administrative measures have been discussed and highlighted in the

national consultation workshops. Due to limited resources and to meet the demand of local

needs, the piloting administrative measures were conducted at BEI as a case study before of

biotechnology research. Reports on piloting of administrative measures especially the Material

Transfer Agreement concerning ABS was conducted on 21 January 2016 (see Annex C6)

and on 29 January 2016 (see Annexes E and E1). A summary of how the pilot projects were

conducted were written to illustrate relevant activities from the project (see Annex E2).

While implementing the project, there was an opportunity for the project team to attend the

ASEAN Conference for Biodiversity 2016 on 15-19 February 2016 in Bangkok, Thailand.

This regional meeting provided an occasion to update and to gain knowledge on the global

biodiversity strategy (Aichi Targets), natural resource management, access and benefit sharing,

and business and biodiversity. The most important is sharing experiences on Nagoya Protocol

on ABS implementation among ASEAN countries especially the participating countries of the

project.

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Problems Encountered and Possible Solutions

This section identifies the difficulties faced by the project coordinator and the national project

team in relation to the implementation of the project to achieve project expectations. Table 1

illustrates the list of problems encountered and possible solutions for dealing with the issues

and situations.

Table 1: List of problems encountered and possible solutions in the implementation of the project activities

Effective communication between the regional and national project coordinators seem to be an issue when final project outputs did not follow the work plan designed at the beginning of the project discussion.

Follow working plan with clear outputs and accept both sides.

Work plan is important in guiding project activities. However, activities can be changed which might cause an issue to not follow the earlier plan. A good example for this project is only a regional meeting that was in the work plan with expansion based on the demands to fulfill the project tasks.

If needed, the guidelines in the work plan should be flexible to accommodate important changes in the project

Involvement of concerned stakeholders in the consultation process could be a significant indicator in ensuring effective enhancement of ABS regulatory and institutional frameworks. However, increase in the level of participation is costly in terms of the project arrangement.

1. A simple solution is an increase in the budget project which can be included in the initial work plan.

2. Another possible solution based on the available resources is to identify key stakeholders that can represent other fields such as forestry, fishery, plants, animals and traditional knowledge.

Regulatory and institutional development is a huge area which includes many stakeholders in the country. Agreement among stakeholders takes time and effort to meet the local situation in order to serve as applicable and effective frameworks.

In order to enhance the ABS regulatory and institutional frameworks, stakeholder participation plays a significant role to fulfill the gaps. This is because of a wide range of genetic resource such as fauna, flora, microorganisms and traditional knowledge.

Technical expertise: limited experience and capacity on ABS among scientific researchers, technical advisors, regulators and others.

1. Needs assessment for capacity building nationally should be done to meet the local demand in the ABS activities such as transboundary issues, compliance, bioprospecting, negotiations, communities and traditional knowledge.

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Problems Solutions

2. Capacity building on ABS and related matters should be provided by ACB, CBD, UN Environment and other concerned organizations. This needs to be brought up in COP 13 in Mexico to support the implementation of Nagoya Protocol on ABS.

Awareness and communication: stakeholder understanding about NP-ABS related with genetic resource management

1. Raising awareness campaign to bring up the issues

2. Creating pilot projects on the ABS implementation about genetic resource management with monitoring and sharing experiences in place in order to create a case study

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Lessons Learned/Good Practices

As a result of this project implementation, lessons learned and good practices have been

identified for strengthening capacities in further ABS activities. Some major lessons learned

and good practices are illustrated in Table 2.

Table 2: Lessons learned and Good Practices

1. Identifying stakeholders is significant to achieve the project activities and to meet the demand of budget limitation.

2. Good interaction between project coordinators (regional, national) and concerned stakeholders is necessary to receive comments for progressing the project activities.

3. Building on existing regulations and procedures is a significant window to increase stakeholder understanding and participation.

4. Clear explanation by using existing ABS procedures and rules seem to support on track brainstorming and discussion of stakeholder consultations

5. Identifying scope of work is very important to understand the country situation for knowing what do you have or do not have. Then you can build on what you have to ensure that you are on track.

6. Reviewing what others have done at the initial stage is a considerable point for starting process.

7. Identifying priorities and thinking ahead are useful to design further project activities.

1. Working with existing technical working groups can result in more efficient work in the ABS context;

2. Involve private sectors or GR users in the ABS discussion should be considered to balance the views of ABS regulation establishment.

3. The number and a well-represented participants from key stakeholders can be one of the indicators in achieving the objectives of the consultation meetings.

4. Stakeholders’ involvement leads to a productive workshop where relevant information was brought up

5. Involving university lecturers in the process of ABS framework formulation

6. Working plan with clear expected outputs can guide the project activities to meet the set targets.

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Acknowledgements

The BEI, Ministry of Science and Technology, Lao PDR would like to take this opportunity to thank ACB

and the UN Environment-China Trust Fund for their financial and technical support over this project

activities. We would like to acknowledge the role of Dr. Sourioudong Sundara, Vice Minister, Ministry

of Science and Technology, National Contact Point for Nagoya Protocol on ABS and his contribution to

supervise the project.

We also greatly appreciate the inputs from all colleagues and their willingness to share experiences,

information and opinions to fulfill the project activities such as Dr. Kosonh Xayphakatsa, Ms. Kongchay

Phimmakong, Dr. Vichitt Lamxay, Mr. Onevilay Souvilay, Mr. Sommano Phounsavath. Ms. Viengpasit

Vanisaveth, Ms. Somephavanh Radavanh, Mr. Panya Bouphasiri, Mr. Thavisack Panyasack and others

who have contributed their support to facilitate the project activities. Special thanks to Atty. Elpidio Peria,

Regional Expert, Mr. Anthony C.T.M Foronda, Project Coordinator, and Ms. Patricia Marie C. Tanyag,

Programme Associate from ACB.

We are greatly indebted to them for their continuous support, guidance and feedback throughout the

project activities. Without these people, the accomplishment of this project would not have been possible.

30

ABS DECREE

A DRAFT Decree on the Access to and the Fair and Equitable Sharing of Benefits from the

Utilization of Lao Genetic Resources and Traditional Knowledge, or, the ABS Decree

PART 1 – PRELIMINARY PROVISIONSArticle 1 Title of Act and Commencement

Article 2 ObjectivesThe objective of this decree is to implement the Nagoya Protocol on Access to Genetic

Resources and the Fair and Equitable Sharing of Benefits Arising from Their Utilization to

the Convention on Biological Diversity. Lao PDR deposited its instrument of ratification to the

Protocol on September 26, 2012.

Article 3 Use of TermsThe terms shall apply to the ABS Decree:

1. “Biological diversity” means the variability among living organisms from all sources

including, inter alia, terrestrial, marine and other aquatic ecosystems and the ecological

complexes of which they are part; this includes diversity within species, between species

and ecosystems.

2. “Biological resources” includes genetic resources, organisms or parts thereof, populations,

or any other biotic component of ecosystems with actual or potential use or value for

humanity.

3. “Biotechnology” means any technological application that uses biological systems, living

organisms, or derivatives thereof, to make or modify products or processes for specific use.

4. “Country of origin of genetic resources” means the country which possesses those genetic

resources in in-situ conditions.

5. “Country providing genetic resources” means the country supplying genetic resources

collected from in-situ sources, including populations of both wild and domesticated species,

or taken from ex-situ sources, which may or may not have originated in that country.

6. “Derivative” means a naturally occurring biochemical compound resulting from the genetic

expression or metabolism of biological or genetic resources, even if it does not contain

functional units of heredity.

7. “Ex-situ conservation” means the conservation of components of genetic resources outside

their natural habitats.

8. “Genetic material” means any material of plant, animal, microbial or other origin containing

functional units of hereditary.

9. “Genetic resources” means any material or plant, animal, microorganism and other origin

of actual or potential value, that contain functional units of heredity.

31

10. “In-situ conservation” means the conservation of ecosystems and natural habitats and the

maintenance and recovery of viable populations of species in their natural surroundings

and, in the case of domesticated or cultivated species, in the surroundings where they

have developed their distinctive properties.

11. “In-situ conditions” means conditions where genetic resources exist within ecosystems

and natural habitats, and, in the case of domestic or cultivated species, in the surroundings

where they have developed their distinctive properties.

12. “Utilization of genetic resources” means to conduct research and development on the

genetic and/or biochemical composition of genetic resources, including through the

application of biotechnology.

Article 4 ScopeThe scope of the decree shall apply:

1. To biological material containing genetic resources;

2. To genetic resources;

3. To the benefits arising from the utilization of such resources;

4. To traditional knowledge associated with genetic resources ; and

5. To the benefits arising from the utilization of such knowledge.

PART II – COMPETENT NATIONAL MANAGEMENT AND MONITORING AUTHORITIESArticle 5 Competent National Authority on ABSCompetent National Authorities on ABS, where they are established as technical and

coordinating committee, will, in accordance with applicable national legislative and

administrative policy measures, be responsible for approving access and be responsible for

technical advice to the Management and Monitoring Organization on ABS on:

1. The negotiating process;

2. Requirements for obtaining prior informed consent and entering into mutually agreed

terms;

3. Monitoring and evaluation of access and benefit-sharing agreements;

4. Implementation and enforcement of access and benefit-sharing agreements;

5. Processing of applications and approval of agreements;

6. The conservation and sustainable use of the genetic resources accessed;

7. Mechanisms for the effective participation of different stakeholders, as appropriate for the

different steps in the process of access and benefit-sharing, in particular, indigenous and

local communities; and

8. Mechanisms for the effective participation of indigenous and local communities while

promoting the objective of having decisions and processes available in a language

understandable to relevant indigenous and local communities.

32

Article 6 Management and Monitoring Organization on ABSManagement and Monitoring Organization on ABS includes:

1. The Ministry of Science and Technology, being the management and monitoring

organization on ABS at the central level;

2. If any other Ministries are required to establish management and monitoring organizations

on biotechnology and ABS, they have to cooperation with the Ministry of Science and

Technology;

3. Provinces, municipalities, cities and special zones shall establish their own management

and monitoring units on biotechnology and ABS in cooperation with the Ministry of

Science and Technology; and

4. Districts and prefectures shall establish their own management and monitoring units on

biotechnology and ABS in cooperation with management and monitoring units at the

provincial, municipal, city and special zone level in which they are located.

PART III – ACCESS TO GENETIC RESOURCES AND TRADITIONAL KNOWLEDGE Article 7 Access to Genetic ResourcesIn the exercise of sovereign rights over its natural resources, access to genetic resources for

their utilization shall be subject to the prior informed consent of the Lao PDR as exercised

through the Lao PDR Competent National Authorities on ABS (National Competent Authorities)

when providing such resources where Lao PDR is the country of origin of such resources or

has acquired the genetic resources in accordance with the Convention on Biological Diversity.

Competent National Authorities on ABS shall take measures, as appropriate, with the aim of

ensuring that the prior informed consent or approval and involvement of indigenous and local

communities is obtained for access to genetic resources where they have the established right

to grant access to such resources.

Requiring prior informed consent, and subject to the necessary legislative, administrative or

policy measures, Competent National Authorities on ABS shall;

1. Provide legal certainty, clarity and transparency in their application of access and benefit-

sharing legislation or regulatory requirements;

2. Provide for fair and non-arbitrary rules and procedures on accessing genetic resources;

3. Provide information on how to apply for prior informed consent;

4. Provide a clear and transparent written decision signed by the competent national

authority, in a cost effective manner and within a reasonable period of time;

5. Provide for the issuance at the time of access of a permit or its equivalent as evidence of

the decision to grant prior informed consent and of the establishment of mutually agreed

terms, and notify the access and Benefit-Sharing Clearing House accordingly;

33

6. Where applicable, and subject to Lao PDR legislation, set out criteria and/or processes

for obtaining prior informed consent or approval and involvement of indigenous and local

communities for access to genetic resources; and

7. Establish clear rules and procedures for requiring and establishing mutually agreed

terms. Such terms shall be set out in writing and may include, inter alia:

(a) a dispute settlement clause;

(b) terms on benefit-sharing, including in relation to intellectual property rights;

(c) terms on subsequent third-party use, if any; and

(d) terms on changes of intent; where applicable.

Article 8 Contribution to Conservation and Sustainable UseLao Competent National Authorities on ABS shall encourage users and providers to direct

benefits arising from the utilization of genetic resources towards the conservation of biological

diversity and the sustainable use of its components.

Article 9 Traditional Knowledge associated with Genetic ResourcesIn accordance with Lao PDR Law, policies and administrative measures, Competent National

Authorities on ABS shall take into consideration indigenous and local communities’ customary

laws, community protocols and procedures, as applicable, with respect to traditional knowledge

associated with genetic resources.

With the effective participation of the indigenous and local communities concerned, Competent

National Authorities on ABS shall establish mechanisms to inform potential users of traditional

knowledge associated with genetic resources about their obligations, including measures as

made available through the Access and Benefit-Sharing Clearing House for access to and fair

and equitable sharing of benefits arising from the utilization of such knowledge.

Competent National Authorities on ABS shall endeavor to support, as appropriate, the

development by indigenous and local communities, including women within these communities,

of:

1. Community protocols in relation to access to traditional knowledge associated with genetic

resources and the fair and equitable sharing of benefits arising out of the utilization of

such knowledge;

2. Minimum requirements for mutually agreed terms to secure the fair and equitable sharing

of benefits arising from the utilization of traditional knowledge associate with genetic

resources;

3. Model contractual clauses for benefit sharing arising from the utilization of traditional

knowledge associated with genetic resources;

4. As far as possible, not restrict the customary use and exchange of genetic resources and

associated traditional knowledge within and among indigenous and local communities.

Article 10 Access to Traditional Knowledge associated with Genetic ResourcesCompetent National Authorities shall take measures, as appropriate, with the aim of ensuring

34

that traditional knowledge associated with genetic resources that is held by indigenous and

local communities is accessed with their prior informed consent or approval and involvement

and that mutually agreed terms have been established.

Article 11 Special Considerations.In the development and implementation of Lao PDR access and benefit sharing legislation or

regulatory requirements, Competent National Authorities on ABS shall:

1. Create conditions to promote and encourage research which contributes to the

conservation and sustainable use of biological diversity, including through simplified

measures on access to non-commercial research purposes, taking into account the

need to address a change of intent for such research. The minimum conditions for such

simplified conditions may include that the use:

(a) does not intent to use the biological resources, to which the proposed action relates,

for commercial purposes;

(b) undertakes to give a written report on the results of any research on the biological

resources to the Competent National Authority on ABS;

(c) undertakes to offer a taxonomic duplicate of each sample taken, to a Lao public

institutions that is a repository of taxonomic specimens of the same or genus as

those collected, for permanent loan or such institution as the National Competent

Authority on ABS may determine;

(d) undertakes not to give the sample to any person, other than the institution mentioned

in paragraph c above, without permission of the Lao PDR; and

(e) undertakes not to carry out, or allow others to carry out, research or development

for commercial purposes on any genetic resources, or biochemical compounds,

comprising or contained in the biological resources unless a benefit sharing

agreement has been entered into.

2. Pay due regard to cases of present or imminent emergencies that threaten or damage

human, animal or plant health, as determined nationally or internationally. National

Competent Authorities on ABS may take into consideration the need for expeditious

access to genetic resources and expeditious fair and equitable sharing of benefits arising

out of the use of genetic resources, including access to affordable treatments by those

in need, especially in the Lao PDR and developing countries;

3. Consider the importance of genetic resources for food and agriculture and their special

role for food security.

PART IV – BENEFIT SHARINGArticle 12 Fair and Equitable Benefit SharingBenefits arising from the utilization and subsequent applications and commercialization of Lao

PDR genetic resources or from genetic resources it has acquired in accordance with the CBD

form shall be shared in a fair and equitable way. Such sharing shall be upon mutually agreed

terms.

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In accordance with Lao PDR legislation, policies and administrative measures, National

Competent Authorities on ABS shall aim to ensure that benefits arising from the utilization

of genetic resources held by indigenous and local communities, in accordance with Lao

PDR legislation or policies regarding the established rights of these indigenous and local

communities over these genetic resources, are shared in a fair and equitable way with the

communities concerned and are based on mutually agreed terms.

Benefits may include monetary and non-monetary benefits, including but not limited to those

listed in the Annex to the Nagoya Protocol. In accordance with Lao PDR legislation, policies

and administrative measures National Competent Authorities on ABS shall also aim to ensure

that the benefits arising from the utilization of traditional knowledge associated with genetic

resources are shared in a fair and equitable way with indigenous and local communities holding

such knowledge. Such sharing shall be upon mutually agreed terms.

PART V – AWARENESS AND ACCESS TO INFORMATIONArticle 13 Public Awareness and ParticipationNational Competent Authorities on ABS shall take measures to raise awareness of the

importance of genetic resources and traditional knowledge associated with genetic resources,

and related access and benefit sharing issues. Such measures may include:

1. Promotion of this ABS National Framework, including its objective;

2. Organization of meetings of indigenous and local communities and relevant stakeholders;

3. Establishment and maintenance of a help desk for indigenous and local communities and

relevant stakeholders;

4. Information dissemination through a national clearing-house;

5. Promotion of voluntary codes of conduct, guidelines and best practices and/or standards

in consultation with indigenous and local communities and relevant stakeholders;

6. Promotion of, as appropriate, domestic, regional and international exchanges of

experience;

7. Education and training of users and providers of genetic resources and traditional

knowledge associated with genetic resources about their access and benefit-sharing

obligations;

8. Involvement of indigenous and local communities and relevant stakeholders in the

implementation of this Protocol; and

9. Awareness-raising of community protocols and procedures of indigenous and local

communities.

Article 14 International Information Sharing and the ABS Clearing HouseAn Access and Benefit Sharing Clearing-House serving as a means for sharing of information

related to access and benefit-sharing and providing legal certainty and acting as a key link to

compliance measures introduced by all countries is established under the Nagoya Protocol. In

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particular, provides access to information made available by each Party, without prejudice to

the protection of confidential information. The Lao Competent National Authorities on ABS shall

make available to the Access and Benefit-sharing Clearing-House the following information:

1. Legislative, administrative and policy measures on access and benefit-sharing;

2. Information on the national focal point and competent national authority or authorities;

3. Permits or their equivalent issued at the time of access as evidence of the decision to

grant prior informed consent and of the establishment of mutually agreed terms.

4. Relevant competent authorities of indigenous and local communities, and information as

so decided;

5. Model contractual clauses;

6. Methods and tools developed to monitor genetic resources; and

7. Codes of conduct and best practices.

PART VI – CAPACITY, TECHNOLOGY TRANSFER AND COOPERATIONArticle 15 CapacityLao National Competent Authorities on ABS shall internationally cooperate in the capacity-

building, capacity development and strengthening of human resources and institutional

capacities, including through existing global, regional, sub regional and national institutions

and organizations, by facilitated the involvement of indigenous and local communities and

relevant stakeholders, including non-governmental organizations and the private sector.

Lao National Competent Authorities on ABS shall identify national capacity needs and priorities

through its national capacity self-assessments. In doing so, it will support the capacity needs

and priorities of indigenous and local communities and relevant stakeholders, as identified

by them, emphasizing the capacity needs and priorities of women. Capacity-building and

development may address, among other things, the following:

1. Capacity to implement, and to comply with the obligations of the ABS Nagoya Protocol;

2. Capacity to negotiate mutually agreed terms;

3. Capacity to develop, implement and enforce domestic legislative, administrative or policy

measures on access and benefit-sharing;

4. Capacity of countries to develop their endogenous research capabilities to add value to

their own genetic resources.

5. Legal and institutional development;

6. Promotion of equity and fairness in negotiations, such as training to negotiate mutually

agreed terms;

7. The monitoring and enforcement of compliance;

8. Employment of best available communication tools and Internet-based systems for

access and benefit-sharing activities;

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9. Development and use of valuation methods;

10. Bioprospecting, associated research and taxonomic studies;

11. Technology transfer, and infrastructure and technical capacity to make such technology

transfer sustainable;

12. Enhancement of the contribution of access and benefit-sharing activities to the

conservation of biological diversity and the sustainable use of its components;

13. Special measures to increase the capacity of relevant stakeholders in relation to access

and benefit-sharing; and

14. Special measures to increase the capacity of indigenous and local communities with

emphasis on enhancing the capacity of women within those communities in relation

to access to genetic resources and/or traditional knowledge associated with genetic

resources.

Article 16 Technology TransferNational Competent Authorities on ABS shall internationally collaborate and cooperate on

scientific research and development programmes, including biotechnological research

activities to promote and encourage access to technology, in order to enable the development

and strengthening of a sound and viable technological and scientific base.

Article 17 Transboundary CooperationIn instances where the same genetic resources are found in situ within the territory of more

than one Party, Lao Competent National Authorities on ABS shall endeavor to cooperate,

as appropriate, with the involvement of indigenous and local communities concerned, where

applicable, where the same traditional knowledge associated with genetic resources is shared

by one or more indigenous and local communities in several Parties.

Article 18 Model Contractual ClausesNational Competent Authorities on ABS shall encourage, as appropriate, the development,

update and use of sectoral and cross-sectoral model contractual clauses for mutually agreed

terms.

Article 19 Codes of Conduct, Guidelines and Best Practices and/or StandardsNational Competent Authorities on ABS shall encourage, as appropriate, the development,

update and use of voluntary codes of conduct, guidelines and best practices and standards in

relation to access and benefit-sharing.

PART VII – MONITORING AND LAW ENFORCEMENTSArticle 20 Monitoring the Utilization of Genetic ResourcesTo support compliance, National Competent Authorities on ABS shall take measures, as

appropriate, to monitor and to enhance transparency about the utilization of genetic resources

in Lao PDR.

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1. Such measures shall include the designation of one or more checkpoints, as follows:

(a) Designated checkpoints to collect or receive, as appropriate, relevant information

related to prior informed consent, to the source of the genetic resource, to the

establishment of mutually agreed terms, and/or to the utilization of genetic resources,

as appropriate;

(b) Shall, as appropriate and depending on the particular characteristics of a designated

checkpoint, require users of genetic resources to provide the information specified

in the above paragraph at a designated checkpoint. National Competent Authorities

on ABS would take appropriate, effective and proportionate measures to address

situations of non-compliance;

(c) Such information, including from internationally recognized certificates of compliance

where they are available, will, without prejudice to the protection of confidential

information, be provided to relevant national authorities of the providing Party, to

the Party providing prior informed consent and to the Access and Benefit Sharing

Clearing House, as appropriate;

(d) Checkpoints must be effective and should be relevant to the utilization of genetic

resources, or to the collection of relevant information at, inter alia, any stage of

research, development, innovation, pre- commercialization or commercialization;

2. National Competent Authorities on ABS will encourage users and providers of genetic

resources to include provisions in mutually agreed terms to share information on the

implementation of such terms, including through reporting requirements;

3. Encourage the use of cost-effective communication tools and systems;

4. A permit or its equivalent issued will be made available to the Access and Benefit Sharing

Clearing House and therefore constitute an internationally recognized certificate of

compliance in accordance with the Nagoya Protocol;

5. An internationally recognized certificate of compliance will serve as evidence in Lao PDR

that the genetic resource which it covers has been accessed in accordance with prior

informed consent and that mutually agreed terms have been established, as required by

the domestic access and benefit-sharing legislation or regulatory requirements of the

Party providing prior informed consent;

6. Lao PDR recognizes that internationally recognized certificates of compliance contain

the following minimum information when it is not confidential:

(a) Issuing authority;

(b) Date of issuance;

(c) The provider;

(d) Unique identifier of the certificate;

(e) The person or entity to whom prior informed consent was granted;

(f) Subject-matter or genetic resources covered by the certificate;

(g) Confirmation that mutually agreed terms were established;

(h) Confirmation that prior informed consent was obtained; and

(i) Commercial and/or non-commercial use.

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Article 21 Compliance with Mutually Agreed TermsNational Competent Authorities will encourage providers and users of genetic resources and/

or traditional knowledge associated with genetic resources to include provisions in mutually

agreed terms to cover, where appropriate, dispute resolution including:

1. The jurisdiction to which they will subject any dispute resolution processes;

2. The applicable law; and

3. Options for alternative dispute resolution, such as mediation or arbitration.

National Competent Authorities will ensure that an opportunity to seek recourse is available

under the Lao legal system, consistent with applicable jurisdictional requirements, in cases of

disputes arising from mutually agreed terms and will take effective measures, as appropriate,

regarding:

1. Access to justice; and

2. The utilization of mechanisms regarding mutual recognition and enforcement of foreign

judgments and arbitral awards where consistent with Lao law.

Article 22 Compliance with Access and Benefit SharingNational Competent Authorities on ABS shall take appropriate, effective and proportionate

action to implement Lao PDR legislative, administrative or policy measures to provide that

genetic resources utilized within its jurisdiction have been accessed in accordance with prior

informed consent and that mutually agreed terms have been established, as required by the

access and benefit sharing legislation or regulatory requirements of the other Party.

National Competent Authorities on ABS shall take appropriate, effective and proportionate

measures to address situations of non-compliance with adopted measures and cooperate in

cases of alleged violation of other Party’s access and benefit-sharing legislation or regulatory

requirements.

Article 23 Compliance with traditional knowledge associated with genetic resourcesNational Competent Authorities on ABS shall take appropriate, effective and proportionate

action to implement the country’s legislative, administrative or policy measures, as appropriate,

to provide that traditional knowledge associated with genetic resources utilized from other

Parties within their jurisdiction has been accessed in accordance with prior informed consent

or approval and involvement of indigenous and local communities and that mutually agreed

terms have been established, as required by domestic access and benefit sharing legislation

or regulatory requirements of the other Party where such indigenous and local communities

are located.

National Competent Authorities on ABS will take appropriate, effective and proportionate

measures to address situations of non-compliance with Lao adopted measures and will

cooperate in cases of alleged violation of foreign domestic access and benefit-sharing

legislation or regulatory requirements.

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PART VIII – POLICY AND PENALTY MEASURESArticle 24 Award

Article 25 Sanctions

Article 26 Liability and Redress

PART IX – IMPLEMENTATION MEASURESArticle 27 Monitoring

Article 28 Final Provision

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Building Capacity of Countries in Support of the Development and Implementation of National ABS Frameworks: Myanmar

Nay Pyi Taw, Myanmar

November 2016

Project Title

Building Capacity of Countries in Support of the Development and Implementation of National

ABS Frameworks: Myanmar

Start and Completion Dates

30 January 2016 to 31 August 2016

Reporting Period

30 January 2016 to 31 August 2016

National Implementing Agencies

Environmental Conservation Department - Ministry of Natural Resources and Environmental

Conservation

Biotechnology Research Department - Ministry of Education

Supporting Agencies

United Nations Environment Programme - Regional Office for Asia and the Pacific

ASEAN Centre for Biodiversity

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Executive Summary

The Access and Benefit Sharing (ABS) Work Plan for Myanmar was signed by Environmental

Conservation Department - Ministry of Natural Resources and Environmental Conservation

(ECD-MONREC) in 30 January 2016 and by the ASEAN Centre for Biodiversity (ACB) in

February 2016. ECD-MONREC representatives attended the ABS Session during the ASEAN

Conservation on Biodiversity held in Bangkok in February 2016. An inception-planning meeting

between ECD-MONREC and ACB was held at ECD, Nay Pyi Taw in April 2016 in preparation

for the implementation of the ABS Work Plan activities. The first fund transfer was received

by ECD in May 2016 and the first consultation-workshop was held on 24 to 25 May 2016

(report attached as Annex 1). The consultation-workshop was attended by 40 participants

from various ministries, non-governmental organizations (NGOs), and private sector including

the United Nations Environment Programme (UN Environment) and ACB representatives. A

planning meeting for the piloting of ABS measures was done in 25 May 2016.

The second fund transfer was done on 23 May 2016 and the Second consultation-workshop

was held on 9 to 10 August 2016 (report attached as Annex 2). The piloting of the ABS measure

as implemented by Biotechnology Research Department of the Ministry of Education was

implemented from 13 June 2016 to 20 July 2016.

Objectives

The main objective of the ABS Work Plan is to provide technical support to Myanmar in

developing and implementing appropriate ABS frameworks.

Specifically, the Work Plan aims to:

• Organize one (1) national consultation relating to the adoption and implementation of

the Nagoya Protocol elements back-to-back with a national workshop on review and

assessment of ABS-related provisions in current regulatory and institutional frameworks

in Myanmar and recommendations for revisions;

• Provide national level data and inputs to a report on the status of ABS regulatory and

institutional frameworks;

• Provide technical support for developing ABS regulatory and institutional frameworks;

• Undertake piloting of administrative or policy measures to implement community protocols,

bioprospecting, and/or biotechnology research, depending on priorities identified in the

country; and

• Support the organization and contribute technically to promote regional cooperation,

knowledge sharing and learning on ABS within ASEAN Member States (AMS) and

China, including through providing inputs to the organization of the regional (ASEAN-

China) workshop, focused on national ABS regulatory and institutional frameworks, as

well as specific thematic areas such as community protocols, bioprospecting and/or

biotechnology research.

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Discussions and Accomplishments

The ABS Work Plan for Myanmar was signed by the Director General of the Environmental

Conservation Department on 30 January 2016. The signing was done after getting the

permission from the Myanmar Cabinet in December 2015. The signed ABS Work Plan was

officially submitted to ACB in February 2016, which started the coordination between ACB and

ECD-MONREC.

ECD-MONREC officials and staff attended the ABS Session during the ASEAN Conference on

Biodiversity 2016 held in Bangkok, Thailand on 15 to 18 February 2016. The ECD-MONREC

official made a presentation on the ways forward to implement the ABS Work Plan in Myanmar.

The main issue to start implementation of the ABS Work Plan in Myanmar was the unavailability

of the Philippine bank to transfer funds to any Myanmar bank.

In March 2016, ECD-MONREC officially communicated to ACB the solution to receive the

ABS Work Plan funds from ACB through Myanmar Environmental Rehabilitation-conservation

Network (MERN), a local NGO, to ECD. Also, ECD-MONREC indicated that the first

consultation-workshop in Nay Pyi Taw will be held in May 2016 and ACB officially replied that

the ABS Work Plan is extended until 15 June 2016. ECD, MERN, and ACB exchanged official

letters on the arrangement for the first fund transfer with an amount of USD 12,400.

ACB then met with MERN representative in Yangon for the transfer of first fund transfer in

April 2016 and met with ECD-MONREC officials and staff to plan for the implementation of

the ABS Work Plan starting with the first consultation-workshop. It was agreed between ECD-

MONREC and ACB to hold the first consultation-workshop on 24 to 26 May 2016, and the

second one on 9 June 2016.

The first fund transfer received by MERN was only USD 9,200 since the bills amounting to

USD 3,200 brought by ACB were rejected by the MERN Bank due to stamped/marked bills.

The amount of USD 9,200 was successfully transferred to the ECD bank in May 2016.

In preparation for the first consultation-workshop, a national expert was hired in May 2016

(contract attached as Annex 3). The national expert selected is U San Lwin, a legal consultant

in Myanmar.

40 participants attended the first consultation-workshop. These participants represented

the Ministries of Education, Health, Agriculture, Natural Resources and Environmental

Conservation, Attorney General’s Office and Intellectual Property Office, among others. Non-

Government Offices such as Wildlife Conservation Society (WCS), Flora & Fauna International

(FFI), and MERN were present during the consultation-workshop.

Representatives from ACB and UN Environment served as speakers during the consultation-

workshop. The consultation-workshop report is attached as Annex 1.

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In preparation for the second consultation-workshop, the Biotechnology Research Department

(BRD) was requested to implement the piloting of ABS measure, which took place from 13 June

2016 to 20 July 2016. Piloting of ABS measures through a Memorandum of Understanding is

attached as Annex 6.

There were 70 participants that attended the second consultation-workshop, composed of

representatives from the same offices and organizations who took part in the first consultation-

workshop. In addition, a private sector representative from the Farmer Land Union company

also attended.

Representatives from ACB and UN Environment served as speakers during the consultation-

workshop. The consultation-workshop report is attached as Annex 2.

Problems Encountered and Possible Solutions

Problems Encountered Possible Solutions Remarks

1. Delay in implementation of the ABS Work Plan due to Myanmar’s approval process

Seek earlier approval process from the Government

2. Difficulty in receiving funds from ACB

Seek local NGO partner to receive funds from ACB and to transfer to ECD account

Collaborated with MERN

3. Lack of staff to fully manage the work plan at ECD

To assign staff to do part time on the work plan and hire a project staff

To include hiring of project staff in future projects

4. Coordination among line ministries.

To make them clearly understand benefits that can be attained by implementing this project

To share materials on knowledge and experience of ABS from other countries

5. Limited timeframe To extend the timeframe for more effective implementation of this project

To allocate enough time

6. Limited facilities for translation (Using microphone instead of transmission materials took more time)

To hire translation materials to save time and have effective communication

To hire translation materials for future workshops to be held

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Lessons Learned / Good Practices

1. Involve a legal person to projects that are legal in scope or context; and

2. Involve CSOs/NGOs, other line Ministries, research institutions, private sector, and other

key and concerned stakeholders during the consultation-workshop.

3. Have a strong interest and active participation of each and every attendee from various

line ministries at the workshop.

4. Engage a translator who knows about the ABS-related legal and situation in Myanmar.

Status of Activities

Project Activities Possible Solutions %Completed Remarks

1. Discuss, draft, and finalize plans with Grantee and ACB

Agreement on national implementation plan

100% The ABS Work Plan was signed by ECD in January 2016.

A planning/meeting between ECD and ACB was done in April 2016 in Nya Pyi Taw.

2. Consolidate, review and analyze national ABS regulatory and institutional frameworks

Analysis report on national ABS regulatory and institutional frameworks of country

100% ECD hired a national expert, U San Lwin, from April to May 2016.

Made a presentation of the assessment/analysis of ABS-related policies in Myanmar during the first consultation-workshop held in May 2016.

Report was submitted to ECD on June 2016.

3. Conduct national consultation-workshop on the status and plan on implementing NP-ABS; in developing or enhancing national ABS regulatory and institutional frameworks; and in identifying priority issues related to community protocols, bioprospecting and/or biotechnology research aligned to NP-ABS

First National consultation-workshop report

Second National consultation-workshop report

100% The first consultation-workshop was held on 24 to 25 May 2016 at ECD, Nay Pyi Taw.

The first draft of the national regulatory and institutional frameworks was submitted to ECD on 27 May 2016.

Piloting of ABS measures was agreed with the Biotechnology Research Institute and presented during the second consultation-workshop.

49

Project Activities Possible Solutions %Completed Remarks

The second consultation-workshop was held on 09 to 10 August 2016 at Lake Garden Hotel, Nay Pyi Taw.

The final draft of the national regulatory and institutional frameworks was submitted to ECD on 5 October 2016.

4. Provide technical support for developing ABS regulatory and institutional frameworks

New or enhanced national ABS regulatory and institutional frameworks of country

100% The first draft of the national regulatory and institutional frameworks was submitted on 27 May 2016.

The final draft of the national regulatory and institutional frameworks was submitted to ECD after the second consultation-workshop.

5. Undertake piloting of administrative or policy measures to implement community protocols, bioprospecting, and/or biotechnology research as identified priority

Report on piloting of administrative or policy measures to implement community protocols, bioprospecting, and/or biotechnology research as identified priority by country

100% Discussed plans for piloting with the Biotechnology Research Institute in May 2016. Coordinated with the Department of Biotechnology.

Agreed with the plans for piloting between BRD and ECD on 25 May 2016.

BRD presented the piloting of ABS measures during the second consultation-workshop on 9 August 2016 and submitted the report on 31 August 2016.

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ASEAN CENTRE FOR BIODIVERSITY

Lao PDR-Myanmar-Viet Nam ABS Institutional and Policy Framework Project

DRAFT ACCESS AND BENEFIT SHARING (ABS) INSTITUTIONAL AND POLICY FRAMEWORK FOR MYANMAR

27 October 2016

Institutional Framework

1. OBJECTIVEThe institutional framework seeks to organize Myanmar Government agencies,

instrumentalities and civil society stakeholders which includes the business sector and

the indigenous peoples and local communities and their support organizations, so that

they will work together to fulfill the country’s commitments under the Convention on

Biological Diversity, the Nagoya Protocol and other relevant international instruments

such as but not limited to the International Treaty on Plant Genetic Resources for Food

and Agriculture, the Union for the Protection of Plant Varieties (UPOV), the Trade-

Related Aspects of Intellectual Property Rights (TRIPS) Agreement of the World Trade

Organization and other relevant international agreements that affect the implementation

of the country’s goals of ensuring the fair and equitable sharing of benefits from the

utilization of Myanmar’s genetic resources and the traditional knowledge associated with

genetic resources.

2. COMPONENTSa. National Focal Point – as indicated by Article 13.1 of the NP, provides information for

applicants seeking access to genetic resources and traditional knowledge associated

with genetic resources, information on procedures for obtaining prior informed

consent and establishing mutually agreed terms, including benefit sharing.

1) The National Focal Point for Myanmar is the Environmental Conservation Department

Ministry of Natural Resources and Environmental Conservation (ECD-MONREC).

2) As such National Focal Point, ECD shall be responsible for liaison with the

Secretariat of the Convention on Biological Diversity

b. Competent National Authorities – in accordance with their respective legal and

institutional mandates, they shall be responsible for granting access, or, as applicable,

issuing written evidence that access requirements have been met. They shall also

be responsible for advising on applicable procedures and requirements for obtaining

prior informed consent and entering into mutually agreed terms.

The following agencies are hereby designated as competent national authorities:

1) Ministry of Natural Resources and Environmental Conservation through the

NATIONAL ABS REGULATORY AND INSTITUTIONAL FRAMEWORKS

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Environmental Conservation Department and the Forest Department;

2) Ministry of Agriculture, Livestock and Irrigation through the Department of

Agricultural Research;

3) Ministry of Health, through the Department of Traditional Medicine, and Food and

Drug Authority;

4) Ministry of Ministry of Agriculture, Livestock and Irrigation through the Fisheries

Department;

5) Ministry of Education through the Department of Sciences and Technology;

6) Ministry of Commerce, for export / import licenses; and

7) Ministry of Ethnic Affairs, to comment on the rights of ethnic peoples.

c. Role of Region and State Governments – the authorities dealing with the grant of

licenses and permits for the utilization of genetic resources and traditional knowledge

associated with genetic resources at the Region and State government level shall

likewise exercise their power over these resources concurrently or in a shared manner

with the Ministries hereby designated as competent national authorities, in accord

with the relevant laws enacted by the Union.

d. Appeals Committee – a sub-committee is hereby created that will deal with the

appeals that may be made by the applicant for access from any decision that may be

made by the relevant competent national authorities. The Union Government should

decide whether or not it keeps one or two tiers of Appeal Committee (or Appellate

Body).

e. Other Agencies and Entities – the following are the recognized agencies and

entities with identified roles in the further development of Myanmar genetic resources

and traditional knowledge associated with genetic resources:

1) Research and Development – the Ministry of Education, through the Biotechnology

Department, shall take the lead in coordinating the utilization or the conduct of

research and development on the genetic and/or biochemical composition of

genetic resources, including through application of biotechnology, and researches

that deal with relevant traditional knowledge associated with genetic resources

2) Checkpoints – the relevant agencies and bodies are hereby designated to collect

or receive relevant information related to prior informed consent, to the source of

genetic resource or traditional knowledge associated with the genetic resource, the

establishment of mutually agreed terms and the utilization of genetic resources

and the traditional knowledge associated with genetic resources

a) Research Committee – for the approval of publication of researches involving

genetic resources and traditional knowledge associated with genetic resources

b) Intellectual Property Office – for the application of patents, trademarks and plant

variety protection. It should be in conformity with the intellectual property laws of

Myanmar, when enacted. Those laws are now in the process of drafting.

c) Food and Drugs Authority – for the marketing approval of products derived from

genetic resources and traditional knowledge associated with genetic resources.

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d) Other agencies determined by MONREC at the recommendation of the Union

Government Committee on ABS.

3. INSTITUTIONAL MECHANISMS FOR COORDINATIONa. Union Government Committee on ABS – a Committee composed of the National

Focal Point, and the various designated Competent National Authorities and the

suitable citizens, which shall meet at regular intervals to discuss and resolve strategic

concerns and those that relate to the full development of the ABS Policy Framework,

on matters relating to access to and benefit sharing from, the utilization of Myanmar

genetic resources and traditional knowledge associated with genetic resources

b. Parliamentary (Hluttaw) Liaison – the Union Government Committee on ABS shall

establish a liaison unit that will work with the Parliament on ABS issues and to

respond to Parliament’s concerns on access to and benefit sharing from the utilization

of Myanmar genetic resources and traditional knowledge associated with genetic

resources

c. Involvement with the Communities and Other Stakeholders – the Union

Government Committee on ABS shall establish coordination mechanisms to ensure

the involvement of the ethnic peoples, communities and other stakeholders, including

the business sector and the academic community, on matters relating to access to

and benefit sharing from the utilization of Myanmar genetic resources and traditional

knowledge associated with genetic resources

4. IMPLEMENTING ACTIONSThere is hereby established a technical working group led by the Environmental

Conservation Department of MONREC that will review the initial roadmap developed

for identifying the actions and resources, including international support, necessary to

establish and enhance Myanmar’s institutional and policy framework for ABS.

The technical working group shall commence its task by first articulating the country’s

vision for ABS to be realized in a definite timeframe.

Policy Framework

1. SCOPEThe collection, research, utilization and commercialization of Myanmar’s genetic

resources and traditional knowledge associated with genetic resources is hereby subject

to this Policy Framework.

2. OBJECTIVEThe Policy Framework shall ensure the fair and equitable sharing of benefits from the

utilization of Myanmar’s genetic resources and traditional knowledge associated with

genetic resources.

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3. ACCESS TO GENETIC RESOURCES AND TRADITIONAL KNOWLEDGE ASSOCIATED WITH GENETIC RESOURCESThe national focal point and the competent national authorities shall take steps to

review their existing policies on the grant of permits and licenses to Myanmar’s genetic

resources and traditional knowledge associated with genetic resources and take steps

to ensure that the appropriate by-laws and regulations and whenever necessary, the

appropriate legislation is in place to ensure that the provisions of the Nagoya Protocol

on Access to Genetic Resources, are taken into account, in the context of the country’s

stage in its policy and economic development. MONREC shall prepare a draft ABS law,

submit to the Union Government for its approval, and submit the bill to the Parliament.

4. FAIR AND EQUITABLE SHARING OF BENEFITSa. The national focal point and the competent national authorities shall take steps to

review their existing policies on the fair and equitable sharing of benefits from the

utilization of Myanmar’s genetic resources and traditional knowledge associated

with genetic resources and take steps to ensure that the appropriate by-laws and

regulations and whenever necessary, the appropriation legislation is in place to ensure

that the provisions of the Nagoya Protocol on Fair and Equitable Benefit Sharing are

taken into account, in the context of the country’s stage in its policy and economic

development.

b. Agreements and licenses that were already approved before the enactment of the

Nagoya Protocol on 12 October 2014 shall be reviewed by the agency concerned,

to ensure that provisions for fair and equitable benefit sharing, particularly the

specification of monetary and non-monetary benefits, on mutually agreed terms, are

in place and are readily enforceable with such updated agreements and licenses.

5. SPECIAL CONSIDERATIONS FOR GENETIC RESOURCES FOR FOOD AND AGRICULTURE AND EMERGENCIES THAT THREATEN OR DAMAGE HUMAN, ANIMAL OR PLANT HEALTHa. Plant genetic resources for food and agriculture from Myanmar or accessed by

Myanmar agencies and individuals from the Multilateral System of the International

Treaty on Plant Genetic Resources for Food and Agriculture shall be covered by the

relevant Standard Material Transfer Agreement (SMTA) of the International Treaty.

b. In instances however of utilization that are outside the scope and operation of the

SMTA, particularly the chemical, pharmaceutical and/or other non-food/feed industrial

uses of the said plant genetic resource, the relevant rules on fair and equitable

sharing that may be established by the Union Government Committee on ABS shall

be applicable. Once these rules are established, the corresponding agreements that

contain such uses are to be amended and/or revised.

c. In matters relating to utilization of pandemic influenza preparedness biological

materials, especially those covered by the Pandemic Influenza Preparedness

Framework of the World Health Organization, said Framework shall apply.

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6. TRADITIONAL KNOWLEDGE ASSOCIATED WITH GENETIC RESOURCESa. In accordance with legislation that was or may be established for the purpose, the

rights of the indigenous peoples and local communities to their traditional knowledge

associated with genetic resources are hereby recognized and taken into account by

this Policy Framework.

b. The Union Government Committee on ABS shall discuss ways and means to

ensure the active participation and involvement of the indigenous peoples and local

communities in matters that deal with their traditional knowledge associated with

genetic resources, including through mechanisms provided by the Nagoya Protocol

such as their relevant customary laws and community protocols.

7. ACCESS PRIOR TO THE ENTRY INTO FORCE OF THE NAGOYA PROTOCOLa. The Union Government Committee on ABS shall discuss and resolve how to secure

fair and equitable sharing of benefits arising from the utilization of Myanmar genetic

resources and traditional knowledge associated with genetic resources that occurred

prior to the entry into force of the Nagoya Protocol on 12 October 2014.

b. The Union Government Committee shall also discuss how such resources may be

considered by the Global Multilateral Benefit-Sharing Mechanism established by

Article 10 of the Nagoya Protocol.

8. TRACKING AND MONITORINGa. The Cabinet Committee shall discuss how tracking and monitoring mechanisms under

the Nagoya Protocol, particularly the checkpoints and the internationally recognized

certificate of compliance, may be established, in a phased manner, in existing process

and procedures of the national focal points and competent national authorities.

b. The Cabinet Committee shall also consider capacity building initiatives for this

particular purpose.

9. COMPLIANCEThe Union Government Committee on ABS shall consider measures for compliance at a

later stage to be included in the implementing actions of the ABS institutional framework,

taking into account Articles 15 and 16 of the Nagoya Protocol, especially when there are

genetic resources and traditional knowledge associated with genetic resources of other

Parties to the Nagoya Protocol utilized in Myanmar.

10. AWARENESS-RAISING AND CAPACITY-BUILDINGThe Union Government Committee on ABS, upon recommendation by the Technical

Working Group, shall make recommendations for further awareness-raising and

capacity-building by all sectors and stakeholders, in order that this Policy Framework is

effectively implemented taking into account the roadmap that will be developed under the

implementing actions of the ABS institutional framework.

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Report on AccomplishmentsBiodiversity Conservation Agency

Hanoi, Viet Nam

March 2016

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Project Title

“Building Capacity of Countries in Support of the Development and Implementation of National

ABS Frameworks in Viet Nam”

Project Start and Completion Dates

The Project started on 15 June 2015 and was completed on 31 March 2016.

Reporting Period

Reports Dates

The first substantive progress and expenditure reports for the period starting the date of signature of the Grant Agreement until 15 June 2015.

15 June 2015

The second substantive progress and expenditure reports for the period between 16 June 2015 until 31 December 2015

30 January 2016

Final technical and certified final expenditure reports for the period up to the completion of the project

31 March 2016

National Implementing Agency

Biodiversity Conservation Agency

Supporting Agencies

Names Logos

United Nations – Secretariat of the Convention on Biological Diversity

United Nations Environment Programme

ASEAN Centre for Biodiversity

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Names Logos

The Law and Policy of Sustainable Development Research Center

National Office of Intellectual Property of Vietnam

Department of Crop Production, Ministry of Agriculture and Rural Development

Department of Livestock Husbandry, Ministry of Agriculture and Rural Development

National Institute of Medicinal Materials

Institute of Microbiology and Biotechnology, Vietnam National University

Nimura Genetic Solutions Co., Ltd.

Sapa Napro Co., Ltd.

Executive Summary

In recent years, the management of genetic resources and benefit sharing from the utilization

of these genetic resources have gained attention, particularly after the Nagoya Protocol on

Access and Benefit Sharing (NP-ABS) was adopted in October 2010 at the 10th Meeting of

the Convention on Biological Diversity (CBD-COP10). Viet Nam acceded to the NP-ABS on 23

April 2014 and became its 31st Party on 12 October 2014.

Viet Nam has had a legal framework on access to genetic resources and benefit sharing

since 2008, when the Biodiversity Law was passed. Aligned with the obligations of the NP-

ABS, the country considered taking preparatory steps in reviewing its existing regulations and

proposed changes with an aim to conserve and sustainably use genetic resources and to fair

and equitably share benefits arising from the use of these genetic resources.

The Government of Viet Nam looked into: (i) reviewing and evaluating collaborations with local

and foreign organizations and institutes within the 2000-2013 accessing genetic resources; (ii)

developing a scheme on improving the management capacity in accessing genetic resources,

and the fair and equitable sharing of benefits arising from the use of genetic resources in

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2015-2016, which has been submitted for approval by the Prime Minister; (iii) developing

a legislative Decree on the management of access to genetic resources and the fair and

equitable sharing of benefits arising from the use of genetic resources, which is expected to

be submitted for promulgation in 2017.

In 2015, Viet Nam participated in the regional project, “Capacity Building for the Ratification and

Implementation of the Nagoya Protocol on Access to Genetic Resources and Benefit Sharing,”

funded by the Global Environment Fund (GEF) through the United Nations Environment

Programme (UN Environment). The project aimed to contribute to the conservation and the

sustainable use of biodiversity of global significance in Viet Nam, through strengthening

national capacities in implementing the NP-ABS on ensuring the fair and equitable sharing of

benefits from the use of genetic resources.

The Grant Agreement 2012-0425 ABS Viet Nam signed on 7 May 2012 set forth the cooperation

between the ASEAN Centre for Biodiversity (ACB) and the Biodiversity Conservation Agency

(BCA) of the Ministry of Natural Resources and Environment (MONRE) and agreed to implement

the small-scale funded project, “Building Capacity of Countries in Support of the Development

and Implementation of National ABS Frameworks in Viet Nam”. A second amendment updated

the provisions of the Agreement specifically the Title of the Project, Purpose of the Project,

Duration of the Project, Operation of the Project, Assistance, and Communication aspects.

The activities of the Project include:

• Organizing two national workshops on the review and assessment of ABS-related

provisions of current regulatory and institutional frameworks in Viet Nam and

recommendations for revision;

• Developing a report on reviewing of the national ABS regulatory and institutional

frameworks and recommendation for revisions; and

• Providing technical support to some of the applications of ABS measures. A case

study with Sapa Napro Co., Ltd. in Lao Cai province was especially conducted to

review its current legal terms and conditions and to evaluate its alignment with the

NP-ABS and current national legal provisions on ABS.

Specific outputs include the following:

• An analysis report on national ABS regulatory and institutional frameworks with

comparison to international regulations;

• A report on the piloting of administrative or policy measures to implement community

protocols, bioprospecting, and/or biotechnology research as identified priority by

country; and

• National consultation-workshop reports

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The technical support from the Project has enabled Viet Nam to acquire insights on reviewing

and updating its national legislation system on ABS. With the expertise of a team of national

and international consultants, relevant issues for consideration and revision to the current ABS

frameworks in Viet Nam were brought up. Some case studies have been conducted, though

preliminary, still provided a good start for the ABS technical team in MONRE to have an in-

depth understanding of the current situation and apply international best practices.

Objective

The main objective of this Project is to provide technical support to Viet Nam in developing and

implementing appropriate ABS frameworks.

Problems Encountered and Possible Solutions

Since the time Viet Nam acceded to the NP-ABS, there have been organizations applying

for access to the country’s genetic resources. Given that ABS is still new in Viet Nam, its

national legal system, public awareness and implementation capacity are limited. Thus, there

are difficulties and constraints for the implementation of access application and licensing

procedures for genetic resources, especially on providing guidance and advice on ABS

contracts and negotiations.

To address such problems, additional support for Viet Nam is needed especially on

organizing trainings and awareness-raising activities for stakeholders, including regulators,

businesses, communities, research institutes, and universities. Viet Nam is also in need of

support to develop and adjust its legal system on ABS to better fit Viet Nam’s context and

in harmony with international instruments, while improving its capacity in ABS management

and implementation, and awareness of organizations and individuals obligations and benefit

sharing from the implementation of ABS.

Lessons Learned / Good Practices

The Project was conducted in collaboration between ACB and BCA under the Vietnam

Environment Administration (VEA). During the course of the project implementation, ACB

provided support with the involvement and participation of an international ABS expert.

Under the workplan of the project, two national workshops were organized. The workshops

provided BCA, various ministries, research institutes, universities, and other stakeholders with

knowledge and experience on ABS at the national and international levels contributing to

raising awareness on ABS in Viet Nam.

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The Project also provided support and guidance in the implementation of access to genetic

resources in Viet Nam specifically on technical consultation on developing a memorandum of

understanding on the access to genetic resources and benefit sharing, assessment on the

capacity to implement ABS models in Viet Nam and came up with lessons learned from the

practical experience.

During the implementation of this Project, the involvement and cooperation of management

authorities at the national and provincial levels, companies, organizations, and individuals

have been beneficial in providing information for BCA to complete its work. BCA would like to

express its sincere thanks to all of them.

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Status of Activities

1. Signing of Agreement

Agreement on national implementation plan

100% - Discussed, drafted, and finalized plans with BCA (national focal point on ABS) and ACB

- BCA and ACB signed the Agreement

2. Consolidate, review and analyze national ABS regulatory and institutional frameworks

Analysis report on national ABS regulatory and institutional frameworks of the country

100% - National expert developed the first draft of the report

- National expert, in cooperation with an international expert, reviewed and finalized the report based on the comments in the first workshop

3. Conduct national consultation-workshop on the status and plan on implementing NP-ABS; in developing or enhancing national ABS regulatory and institutional frameworks; and in identifying priority issues related to community protocols, bioprospecting and/or biotechnology research aligned to NP-ABS

National consultation-workshop report

100% - Organized the first consultation workshop in Ha Noi on 28 September 2015 with the participation of representatives from related ministries, agencies, institutes, universities and industries

- Conducted the second national consultation-workshop in Ha Noi on 15 January 2016 to review and assess ABS-related provisions in current legal framework in Viet Nam and to recommend revisions with the participation of representatives from related ministries, agencies, institutes, universities and industries

4. Provide technical support for developing ABS regulatory and institutional frameworks

New or enhanced national ABS regulatory and institutional frameworks of country

100% (combined with Activity 2 above)

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PROJECT ACTIVITIES OUTPUTS % COMPLETED1 DISCUSSION OF ACTIVITIES2

5. Undertake piloting of administrative or policy measures to implement community protocols, bioprospecting, and/or biotechnology research as identified priority

Report on piloting of administrative or policy measures to implement community protocols, bioprospecting, and/or biotechnology research as identified priority by country

100% - Developed a Terms of Reference (TOR) and identified a national consultant to assist on tasks relating to legal requirements for the development and implementation of ABS agreements in pilot cases, in accordance with Viet Nam legislation and NP-ABS

- Developed a contract with national expert to assist on tasks relating to legal requirements for the development and implementation of ABS agreements in pilot cases, in accordance with Viet Nam legislation and NP-ABS;

- Worked with stakeholders, and selected the Vietnam Academy of Agriculture, which BCA supported in the development of an ABS agreement with Rijk Zwaan company in Holland; Memorandum of Understanding between VEA and the Korea National Institute of Biological Resources on a cooperation concerning research on biological resources, among others.

- Organized a field visit and a consultation meeting to understand the current situation and to facilitate negotiation and development of ABS agreement between Sapa Napro Co., Ltd. involving households. The field visit and consultation meeting took place in 22 - 26 December 2015 in Lao Cai.

10% - not yet started; 25% - discussed plans; 50% - implementing activity stage; 75% - finished activity and writing report; and 100% - output delivered2what were done; when were these done; who did these; where were these done; what were discussed and agreed; what are the plans; what are the difficulties in achieving outputs

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*

*The draft decree has been revised. “Decree No. 59/2017/ND-CP on the Management of Access to Genetic Resources and the Sharing of Benefits Sharing arising from their Utilization” was approved on 12 May 2017, and shall take effect from 1 July 2017.

ABS DECREE

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Annex 2Lessons Learned

LESSONS LEARNED

SUPPORT FOR RATIFICATION AND THE IMPLEMENTATION OF THE NAGOYA PROTOCOL ON

ACCESS AND BENEFIT SHARING IN ASEAN COUNTRIESLAO PDR, MYANMAR, AND VIET NAM

(APRIL 2015 – JANUARY 2017)

ASEAN CENTRE FOR BIODIVERSITYLAGUNA, PHILIPPINES

25 APRIL 2017

Introduction

The purpose of the lessons learned document for the Support for Ratification and the Implementation of the Nagoya Protocol on Access and Benefit Sharing in ASEAN Countries: Lao PDR, Myanmar, and Viet Nam is to capture the project’s lessons learned

in a formal document for use by other project managers (PM) on similar future projects. This

document may be used as part of new project planning for similar projects in order to determine

what problems occurred and how those problems were handled and may be avoided in the

future.

Additionally, this document details what went well with the project and why, so that other project

managers may capitalize on these actions. Project managers may also use this document to

determine who the project team members were in order to solicit feedback for planning their

projects in the future. This document will be formally communicated with the organization and

will become a part of the organizational assets and archives.

Lessons Learned Approach

The lessons learned from the ABS Project are compiled from mission reports throughout the

project lifecycle. Lessons learned were also gathered from both realized and unrealized risks

in the project risk register as well as through interviews with project team members and other

stakeholders as necessary. The lessons learned from this project are to be used as references

for future projects and contain an adequate level of detail so that other project managers may

have enough information on which to help base their project plans. The lessons learned in this

document are categorized by project knowledge area.

These knowledge areas consist of: procurement management, risk management,

integration management, quality management, time management, cost management, scope

management, human resource management, and communications management. Note that

some knowledge areas may not contain lessons learned if none were documented throughout

the project lifecycle.

Lessons Learned from the Project

The following chart lists the lessons learned from the ABS project. These lessons are

categorized by project knowledge area and descriptions, impacts, and recommendations are

provided for consideration on similar future projects. Successes as well as deficiencies from

the implementation of the project are noted.

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Lessons Learned: Project Implementation and Management

Category Issue Problem/Success Impact Recommendation

Integration Management

Change control Changes were mostly appropriately addressed when communicated accordingly between the implementing and executing agencies, and executing and partner agencies. However, there was an instance that a change in scope was implemented without coordinating properly with the executing agency.

Change in schedule was approved upon close coordination with UN Environment. However, because of non-coordination, the capacity for a national legal person to develop ABS frameworks was not realized.

Include in a formal agreement and develop a Project Management Plan (PMP) with the national project implementers, and agree with the Plan to be guided on the process of managing the project and how to address changes, among others.

Scope Management

Scope variation Project outputs were enumerated but few outputs were misinterpreted by country’s project focal persons

The PM did not have a plan for a kick-off activity with project focal persons to be clear with the scope including requirements to be submitted. As a result, few outputs were moderately satisfactory.

The PM must have a clear definition of the outputs as basis for agreement with participating countries. A budget for kick-off activity could provide a venue for stakeholders to level-off on the project’s scope, budget, schedule, quality, risk, and resources.

Time Management

Delays With the proper coordination with national implementing partners, most of the partners were able to implement the project activities as scheduled.

However, a partner had considerable delay in implementation due to internal policy procedural requirements that necessitate clearance at the inter-ministerial level.

National project implementation of activities in majority were on time.

Additional costs occurred from travel expenses and personnel time required to visit and support the partner in an extended manner.

Close coordination on the planned schedule with implementing partners need to be made to facilitate internal preparation to implement activities simultaneously with other countries.

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Category Issue Problem/Success Impact Recommendation

Cost Management

Utilization variance

The project utilized 99.4% of the allocated total funds.

Efficient utilization of funds in delivering project outputs.

The project should have a well-designed work and financial plan. Furthermore, an effective and efficient internal and external processes to get clearance for changes should be put in place at ACB and UN Environment.

Quality Management

Outputs format or template

A process for determining acceptable outputs was planned into the project but some outputs were not satisfactory.

This allowed the project team to work with project participating countries to smoothly ensure all outputs were of acceptable quality and avoided any re-work and delays associated with substandard outputs.

However, there was misinterpretation on a deliverable requiring arbitration by the implementing agency.

The PM needs to always make outputs clear, specific and well defined with project stakeholders.

Human Resources Management

Project HR support

Hiring of project staff in project participating countries to do the technical and administrative work was planned but budget was inadequate.

The support of a technical staff at ACB provided the necessary support to project management. Also, the project provided logistical support to finance officers of ACB.

The project focal persons in the countries had to carry additional tasks on her/himself or assign to another staff. As such, delays in realizing outputs resulted.

The technical staff provided quality and timely delivery of reports to UN Environment and support to national workshops.

Quality national financial reporting

The project should include budget for hiring project staff in each project participating country to assist the project focal person in providing technical and administrative work for the project.

At least budget costs to provide logistical support for ACB technical and financial staff to assist countries in project management and implementation.

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Category Issue Problem/Success Impact Recommendation

were facilitated with the participation of finance officers of ACB.

Ideally, project funds could include hiring necessary project staff for technical and financial work.

Communication Management

Communication Protocol

Agreeing with project stakeholders on communication processes facilitates project implementation.However, delay in feedback resulted in delay of necessary actions.

Timely instructions facilitated delivery of outputs.

Delays in implementation of project activities in a participating country.

The PM needs to get the agreement with stakeholders on the appropriate communication process and protocol that would result to the most effective and efficient action.

Risk Management

Risk Planning Risk identification and planning were not done.

Delays in project implementation due to unidentified risks.

The PM needs to do Risk Management Processes.

Procurement Management

Contract Requirements

Regional and national expert service providers were acquired and delivered outputs.

Draft national frameworks were satisfactorily developed for the project participating countries.

Qualified expert service providers within the ASEAN region and from the country should be tapped. Service providers outside of the region and country can be acquired to supplement the inadequacy/ies of the regional and/or national service providers.

Stakeholder Management

Stakeholder management process

Stakeholders were manageable.

Successful completion of the project.

The PM needs to do stakeholder management processes in every project, monitor and manage the stakeholders.

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Lessons Learned: Developing National ABS Regulatory and Institutional Frameworks

*As extracted from country completion reports:

National Project Coordination and Management

a. Good interaction between project coordinators (regional and national) and concerned stakeholders is necessary to move the project activities forward.

b. Adhering to the agreed work plan is recommended; however, flexibility during unexpected changes is needed.

c. Collaborating with existing technical working groups can fast track the progression of the project development

d. It is beneficial to have a group of specialists perform part time work, and hire a project staff to fully manage the work plan.

e. ACB played a significant role in the project implementation, as the Centre provided support to country members by involving international experts in country-specific activities.

f. The involvement of a legal expert in the legal aspects of the project is important.

Project Implementation

a. The two national workshops organized based on the work plan provided important information, knowledge, and experiences on ABS at national and global levels. These contributed to raising awareness of representatives from different ministries, research institutes, and universities.

b. Work plan with clear expected outputs can guide the project activities to meet the set objectives or targets.

c. Seeking approval in advance from the government will lessen the delays in implementation of the work plan.

Stakeholder Engagement

a. Strategically identifying stakeholders is significant in achieving project activities and in meeting the demand of budget limitation.

b. Involving private sectors or GR users in the ABS discussions should be considered to balance the views on the establishment of ABS regulations.

c. Active involvement of participants in achieving the objectives of consultation meetings is crucial in the project’s success.

d. Involvement of stakeholders from the academe is important in constructing the ABS framework.

e. Reviewing the methodology and the recommendations from previous projects are beneficial.

f. Involvement of CSOs/NGOs, other line ministries, research institutions, private sector, and other key and concerned stakeholders during the consultation-workshop is a must.

g. It is important to partner with a local NGO to receive funds from executing agency and to transfer funds to a partner implementing agency.

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Capacity Building and Policy Support

a. Building on existing regulations and procedures at the national or institutional level is an opportunity to increase stakeholder understanding and participation for which they are familiar with.

b. Clear explanation by using existing ABS procedures and rules support brainstorming and discussion during stakeholder consultations would assist in the learning and innovating processes.

c. Identifying scope of work is very important by understanding the country’s situation in terms of existing policies and policies to develop.

d. Capacity building on ABS and related matters should be provided by ACB, SCBD, UN Environment and other concerned organizations.

e. Case studies based on monitoring and sharing experiences can help in drafting pilot projects on the ABS implementation about GR management

f. Prioritizing and thinking ahead are useful to design further project activities. Formulation can bring up a combination of education and research and development perspectives.

g. The project also provided support and guidance in the implementation of access to genetic resources specifically technical consultation on developing a memorandum of ABS, assessment on capacity to implement ABS models in place and came up with lessons learned from practical experience.

h. Stakeholders of the project will benefit from more training and awareness raising activities.

LESSONS LEARNED KNOWLEDGE BASE / DATABASE

The lessons learned for the ABS Project will be contained in the organizational lessons learned

knowledge base maintained by the Programme Development and Implementation (PDI) unit

of the ASEAN Centre for Biodiversity (ACB). This information will be catalogued under the

project’s year (2017) and the type of project (ABS). This information will be valuable for any

project manager assigned to a construction of new project in the future.

LESSONS LEARNED APPLIED FROM PREVIOUS PROJECTS

The ABS Project utilized several lessons learned from past projects:

1. The inclusion of a project closing meeting was held in preparation for project completion

reporting by reflecting on the experience reported in the UN Environment-GEF Regional

Project on ABS implemented in 2011 to 2014.

2. Perspective of the private sector was highlighted by inviting a representative of the

private sector to make a presentation during the consultation-workshop. This lesson

learned was based on the report in the UN Environment-GEF Regional Project on ABS.

3. The national key stakeholders were tapped as lead or resource persons during

consultation-workshops. This lesson learned was based on the report in the UN

Environment-GEF Regional Project on ABS.

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PROCESS IMPROVEMENT RECOMMENDATIONS

As indicated in the lessons learned chart above, recommendations were highlighted. Such

as: (1) develop PMP; (2) conduct Kick-off activity; (3) define deliverables; (4) coordination on

the planned schedule; (5) identify processes to facilitate appropriate utilization of funds; (6)

specify outputs; (7) allocate budget for hiring regional and national project staff; (8) identify

communication process and protocol; (9) consider qualified experts within the region; and

(10) implement stakeholder management process. Not only is this a lesson learned for similar

future projects; but ACB must ensure that all project managers including national project

coordinators are aware of the need for this process to be included in the planning of all future

projects.

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